You are on page 1of 219

&RPELQHG#6HUYLFH#0DQXDO

/ $ 6 ( 5 # 3 5 , 1 7 ( 5 6

# (FRV\V#)604:33

(FRV\V#)604:33. (FRV\V#)606:33 (FRV\V#)606:33.

&KDSWHU#2QH##3 5 2 ' 8 & 7 # , 1 ) 2 5 0 $ 7 , 2 1 #

&KDSWHU#7ZR## 1 6 7 $ / / $ 7 , 2 1 2 2 3 ( 5 $ 7 , 2 1 ,

&KDSWHU#7KUHH##0 $ , 1 7 ( 1 $ 1 & ( 2 $ ' - 8 6 7 0 ( 1 7 6 #

&KDSWHU#)RXU##2 3 ( 5 $ 7 , 2 1 # 2 9 ( 5 9 , ( : #

&KDSWHU#)LYH## , 6 $ 6 6 ( 0 % / < '

%RDUG#OD\RXWV

7URXEOHVKRRWLQJ

# &KDSWHU#6L[##7 5 2 8 % / ( 6 + 2 2 7 , 1 *

)604:332)606:33#6HULHV

$SSHQGL[#$## 3 5 , 1 7 ( 5 # , 1 7 ( 5 ) $ & ( #

$SSHQGL[#%##6 7 $ 7 8 6 # 3 $ * ( #

$SSHQGL[#%#

&

#4

6WDWXV#SDJH#%06 6HUYLFH#LQIRUPDWLRQ#%06

6WDWXV#SDJH

6WDWXV#SDJH

6WDWXV#SDJH
$VWDWXVSDJHFDQEHREWDLQHGE\SUHVVLQJWKHSULQWHUV67$786NH\ZKHQWKH SULQWHULV5HDG\7KHIRUPDWIRUVWDWXVSDJHLVLGHQWLFDODPRQJDOOHPXODWLRQPRGHV H[FHSW.3'/6WDWXVSDJHDOORZVFKHFNLQJXVHIXOVHUYLFHLQIRUPDWLRQDVH[SODLQHG EHORZDVZHOODVWKHSULQWHUVFXUUUHQWVWDWXVLQFOXGLQJDYDLODEOHPHPRU\VSDFH RSWLRQVHWWLQJVHWF

6HUYLFH#LQIRUPDWLRQ 7KLVDSSHQGL[VKRZVH[DPSOHVDQGH[SODQDWLRQVRQLWHPVUHJDUGLQJVHUYLFH LQIRUPDWLRQIRUWKHSULQWHUZKLFKLVSUHVHQWHGHXQGHUVHFWLRQ6HUYLFHLQIRUPDWLRQDW WKHERWWRPRIWKHVWDWXVSDJH7KLVVHFWLRQGRHVQRWFRYHURWKHUUHJXODULQIRUPDWLRQ VXFKDVWHPSRUDU\SDUDPHWHUV)RUGHWDLOVRQJHQHUDOGLVFXVVLRQVRQVWDWXVSDJH UHIHUWRFKDSWHULQWKHSULQWHUV8VHUV0DQXDO 7KHILJXUHEHORZVKRZVDQH[DPSOHRIWKHVHUYLFHLQIRUPDWLRQRQVWDWXVSDJH

)604:332)606:33#6HULHV

6WDWXV#SDJH

6WDWXV#SDJH

6$03/(#67$786#3$*(

SN: SPL6X40242

3$*(#35,17(5#67$786#3$*(

Service information [A1/34-02][A1]/P00/S00/D00/Fxx/Exx/Nxx /0102/0125/1061/0811/ 0/ 0/DN:SPL6X40262/AAADCH/01 /00/01/02/05/06

2#LV#XVHG#DV#D#VHSDUDWRU1

([DPSOH 7RSRISDJH SPL6X40242

'HILQLWLRQ

0HDQLQJ

6HUHLDOQXPEHURISULQWHU

7RSURZXQGHU6HUYLFHLQIRUPDWLRQ [A1 34 -02] [03] /P00 /S00 /D00 /Fxx 9HUVLRQRIHQJLQH520 9HUVLRQRIHQJLQHIODVKPHPRU\ 3ULQWHULG 9HUVLRQRIIURQWSDQHO520 &XUUHQWPRGHRISDUDOOHOLQWHUIDFH (UURUFRGHRIVHULDOLQWHUIDFH 6WDWXVRIGRZQORDGLQJLQHQJLQH IODVKPHPRU\ 6WDWXVRIIURQWSDQHOORFNLQJ QRUPDO KLJKVSHHG )6 )6

)604:332)606:33#6HULHV

6WDWXV#SDJH

6WDWXV#SDJH

([DPSOH /Exx /Nxx

'HILQLWLRQ (UURUFRGHRIRSWLRQLQWHUIDFH (UURUFRGHRIHQJLQHIODVKPHPRU\

0HDQLQJ

0LGGOHURZXQGHU6HUYLFHLQIRUPDWLRQ /0102 /0123 /1061 /0811 /0 /0 /DN:SPL6X40262 /AAADCH /01 %RWWRPURZXQGHU6HUYLFHLQIRUPDWLRQ /00/01/02/05/06 ,QVWDOOHGHPXODWLRQPRGHV /LQHSULQWHU ,%0 'LDEOR (SVRQ +3 .3'/LILQVWDOOHG 7RSPDUJLQRIIVHW /HIWPDUJLQRIIVHW 3DJHOHQJWK 3DJHZLGWK IHHGHU /HIWPDUJLQRIIVHWIRUVWRSWLRQ LQFKIUDFWLRQRILQFK)532// LQFKIUDFWLRQRILQFK)532// LQFKIUDFWLRQRILQFK)532// LQFKIUDFWLRQRILQFK)532// 8QLWLQLQFKHV 8QLWLQLQFKHV $ % & $ % &

/HIWPDUJLQRIIVHWIRUQGRSWLRQ IHHGHU 6HULDOQXPEHUIRUGUXP 3ULQWHGSDJHFRXQWRQGUXP

)604:332)606:33#6HULHV

6WDWXV#SDJH

6WDWXV#SDJH

7KLVSDJHOHIWEODQNLQWHQWLRQDOO\

)604:332)606:33#6HULHV

$SSHQGL[#$#

&

3DUDOOHO#LQWHUIDFH#$06 3RUW#SLQ#DVVLJQPHQW#$06 3DUDOOHO#LQWHUIDFH#FRQQHFWLRQ#$07 6HULDO#LQWHUIDFH#$08 &KDQJLQJ#WKH#VHULDO#LQWHUIDFH#FRQILJXUDWLRQ#$08 5HSODFH#WKH#PDLQ#FRQWUROOHU#ERDUG#EDFN#LQWR#WKH#SULQWHU1#6HFXUH#WKH#ERDUG#E\#WKH#WKUHH#VFUHZV1#$0: 6HULDO#SRUW#SLQ#DVVLJQPHQW#$0; 3DUDOOHO#LQWHUIDFH#FRQQHFWLRQ#$0< 560565&#LQWHUIDFH#YROWDJH#OHYHOV#$0< &RQQHFWRU#FRQILJXUDWLRQV#$043 560565&#SURWRFRO#$044

3ULQWHU#LQWHUIDFH 3DUDOOHO#LQWHUIDFH

3DUDOOHO#LQWHUIDFH
7KHSULQWHUXVHVDELGLUHFWLRQDOSDUDOOHOLQWHUIDFHIRUKLJKVSHHGGDWDWUDQVPLVVLRQ IRUWKHKRVWFRPSXWHU7KLVLQWHUIDFHLQFOXGHVWKHEXIIHUVZKLFKDUHFRPSDWLEOHZLWK WKH,(((VWDQGDUGV7KHSDUDOOHOLQWHUIDFHSURYLGHVVXSSRUWIRUWKH(&3DQG QLEEOHPRGHVLQWKLVVWDQGDUGV 3RUW#SLQ#DVVLJQPHQW 7KHSLQVRIWKHSDUDOOHOLQWHUIDFHFRQQHFWRUFDUU\WKHVLJQDOVOLVWHGEHORZ
1R1 7HUPLQDO Q6WUREH 'DWD 'DWD 'DWD 'DWD 'DWD 'DWD 'DWD 'DWD Q$FN %XV\ 3(UURU 6HOHFW Q$XWR)G 1RWGHILQHG /RJLFJURXQG &KVVLVJURXQG 3HULORJLF+ 6LJQDO 67%,1 3$' 3$' 3$' 3$' 3$' 3$' 3$' 3$' $&.287 %86<287 3(5525 6(/(&7 $872)' 1& *1' *1' 9&& 1R1 7HUPLQDO *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG *URXQG Q,QLW Q)DXOW 1RWGHILQHG 1RWGHILQHG 1RWGHILQHG Q6HOHFW,Q *1' *1' *1' *1' *1' *1' *1' *1' *1' *1' *1' *1' ,1,7 )$8/7 3XOOXSN 1& 3XOOXSN 6(/(&7, 6LJQDO

1HJDWLYHORJLF 0D[LPXPUDWHGFXUUHQWIRUSLQLV$IXVHG 3LQLVJURXQGHGWKURXJKDFKLSEHDGRUDFKLSUHVLVWRU1

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 3DUDOOHO#LQWHUIDFH

3DUDOOHO#LQWHUIDFH#FRQQHFWLRQ 'HWDLOHGGHVFULSWLRQVRIWKHSDUDOOHOLQWHUIDFHVLJQDOVIROORZ

6LJQDO 6WUREH-#>Q6WUREH@#+3LQ#4,

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

'DWD#3#>4@#WR#'DWD#:#>;@#+3LQV#5#WR#<,

$FNQRZOHGJH-#>Q$FN@#+3LQ#43,

%XV\#>%XV\@#+3LQ#44,

3DSHU#(PSW\#>3(UURU@#+3LQ#45, 2Q0/LQH#>6HOHFW@#+3LQ#46,

$XWR0)HHG#>Q$XWR)G@#+3LQ#47,

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

.89#'&#+SLQ#4;, 3ULPH#>Q,QLW@#+3LQ#64,

(UURU>Q)DXOW@3LQ $X[LOLDU\RXWSXW3LQ 3RZHU5HDG\3LQ 6HOHFW,Q>16HOHFW,Q@3LQ

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

6HULDO#LQWHUIDFH
7KHSULQWHULVHTXLSSHGZLWKDVHULDOSRUWZKRVHFLUFXLWU\GXSOLFDWHVWKHRSWLRQ LQWHUIDFHFDUG,%7KHGHYLFHUHVSRQVLEOHIRUFRQWUROOLQJWKHVHULDOLQWHUIDFHLV LQWHJUDWHGLQWKHJDWHDUUD\LQWKHFRQWUROOHUV\VWHP7KHVHULDOLQWHUIDFHVXSSRUWV ERWKSURWRFROVRI56&DQG56$ ,QWKH56&SURWRFRO&76DQG'65VLJQDOVDUHLQFOXGHGWRVXSSRUW6103 6LPSOH1HWZRUN0DQDJHPHQW3URWRFROSURWRFROXVHGW\SLFDOO\IRU:LQGRZVV SOXJDQGSOD\IXQFWLRQ7RJJOLQJWKHSURWRFROEHWZHHQ56&DQG56$LV PDGHE\DVKRUWLQJMXPSHUVRFNHWWKDWLVDFFHVVLEOHRQWKHFRQWUROOHUERDUG7KH MXPSHUZLUHDUUDQJHPHQWWKDWXVHGWREHSURYLGHGIRUWKHVXFFHHGLQJPRGHOVWR VZLWFKWKH'75SRODULW\LVQRWXVHGZLWKWKHVHPRGHOV7RFKDQJHWKHVHULDOLQWHUIDFH SURURFROUHIHUWR&KDQJLQJWKHVHULDOLQWHUIDFHFRQILJXUDWLRQVHFWLRQZKLFKIROORZV $SLQ'VXEFRQQHFWRULVXVHGIRUWKHVHULDOLQWHUIDFH7KHH[WUDVLJQDOVXVHGIRU 56$DUHDVVLJQHGWRWKHVHSLQVWKDWDUHQRWXVHGIRU56&DFFRUGLQJWRWKH ,%0SLQDVVLJQPHQWVFKHPH &KDQJLQJ#WKH#VHULDO#LQWHUIDFH#FRQILJXUDWLRQ 7RFKDQJHWKHVHULDOLQWHUIDFHSURWRFROIURP56&WR56$RUYLFHYHUVDWKH PDLQFRQWUROOHUERDUGPXVWEHWDNHQRXWRIWKHSULQWHU3URWHFWWKHHOHFWURQLFVE\ WDNLQJWKHVHSUHFDXWLRQV %HIRUH#WRXFKLQJ#WKH#PDLQ#FLUFXLW#ERDUG/#WRXFK#D#ZDWHU#SLSH#RU#RWKHU#ODUJH PHWDO#REMHFW#WR#GLVFKDUJH#\RXUVHOI#RI#VWDWLF#HOHFWULFLW\1#:KLOH#GRLQJ#WKH ZRUN/#LW#LV#UHFRPPHQGHG#WKDW#\RX#ZHDU#DQ#DQWLVWDWLF#ZULVW#VWUDS1 7RXFK#WKH#PDLQ#FLUFXLW#ERDUG#RQO\#E\#WKH#HGJH1

%H#VXUH#WR#UHPRYH#WKH#PHPRU\#FDUG#ILUVW#LI#LQVHUWHG#LQ#WKH#SULQWHU*V#PHPRU\ FDUG#VORW1

5HIHUWRFKDSWHUDQGUHPRYHWKHPDLQFLUFXLWERDUGRXWRIWKHSULQWHU $
)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

'HSHQGLQJRQPRGHOORFDWHWKHMXPSHUFRQQHFWRU )604:3326:33

-XPSHU#FRQQHFWRU

3OXV0VHULHV

-XPSHU#FRQQHFWRU

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

7RFKDQJHWKHVHULDOSURWRFROIURP56&WR56$IRUH[DPSOHFDUHIXOO\ UHPRYHWKHMXPSHUFRQQHFWRUIURPWKHPDLQFLUFXLWERDUGDQGUHFRQQHFWWRWKHSLQ SRVLWLRQVKRZQLQWKHGLDJUDP

560565& SRVLWLRQ

560755$ SRVLWLRQ

5HSODFH#WKH#PDLQ#FRQWUROOHU#ERDUG#EDFN#LQWR#WKH#SULQWHU1#6HFXUH#WKH#ERDUG#E\ WKH#WKUHH#VFUHZV1

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

6HULDO#SRUW#SLQ#DVVLJQPHQW 7KHSLQVRIWKHSDUDOOHOLQWHUIDFHFRQQHFWRUFDUU\WKHVLJQDOVOLVWHGEHORZ7KH56 $VSHFLILFVLJQDOVDUHQRWHGLQWKH'HILQLWLRQ


1R1 2WKHU )* 7[' 5['5'$ 576 &76 '65 6* 6'$ 6'% 5'% '75 1RWFRQQHFWHG 3ULQWHUKRVW 3ULQWHUKRVW +RVWSULQWHU 3ULQWHUKRVW 3ULQWHUKRVW +RVW3ULQWHU 3ULQWHUKRVW +RVWSULQWHU +RVWSULQWHU 6LJQDO )ORZ )UDPHJURXQG 7UDQVPLWGDWD56& 5HFHLYHGDWDUHFHLYHGDWD5HYHUVHG 7UDQVPLWUHTXHVW 7UDQVPLWSHUPLWWHG 'DWDVHWUHDG\ 6LJQDOJURXQG 7UDQVPLWGDWD5HYHUVHG56$ 7UDQVPLWGDWD56$ 5HFHLYHGDWD56$ 'DWDWHUPLQDOUHDG\ 8QGHILQHG 'HILQLWLRQ

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

3DUDOOHO#LQWHUIDFH#FRQQHFWLRQ 'HWDLOHGGHVFULSWLRQVRIWKHSDUDOOHOLQWHUIDFHVLJQDOVIROORZ
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

5;'5'$3LQ

5763LQ &763LQ'653LQ 6*3LQ 6'$3LQ 6'%3LQ '75'DWD7HUPLQDO5HDG\3LQ

560565&#LQWHUIDFH#YROWDJH#OHYHOV 7KHYROWDJHOHYHOVRIWKH56&VLJQDOVFRQIRUPWR(,$56&VSHFLILFDWLRQV )$/6(LVIURPYROWVWRYROWV758(LVIURPYROWVWRYROWV9ROWDJHV EHWZHHQYROWVDQGYROWVDUHXQGHILQHG7KHYROWDJHOHYHOVRIWKH56$VLJQDOV DUHHTXLYDOHQWWRWKRVHRIWKH56&VLJQDOVH[FHSWWKHVLJQDOVXVHGIRU WUDQVPLVVLRQDQGUHFHSWLRQ

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

&RQQHFWRU#FRQILJXUDWLRQV 7KHSULQWHUXVHVD'%FRQQHFWRUIRUWKHVHULDOLQWHUIDFH'HSHQGLQJRQWKH FRPSXWHUFRQILJXUDWLRQIRUVHULDOLQWHUIDFHXVHHLWKHURIWKHDSSURSULDWH FRQILJXUDWLRQV$VSHFLDOFDEOHPXVWEHSUHSDUHGRUREWDLQHGIRUWKH56$ FRQILJXUDWLRQE\UHIHUULQJWRWKHGLDJUDPODVWEHORZ


560565&#0#)25#&20387(56#:,7+#$#'%0<#&211(&725=

&RPSXWHU VHULDO#SRUW +'%0<,

3ULQWHU VHULDO#SRUW +'%058,

5;'05 7;'06 '7507 *1'08 '6509 5760: &760;

507;' 605;' 70576 80&76 90'65 :06* 530'75

560565&#0#)25#&20387(56#:,7+#$#'%058#&211(&725=

&RPSXWHU VHULDO#SRUW +'%058,

3ULQWHU VHULDO#SRUW +'%058,

*1'04 7;'05 5;'06 57607 &7608 '6509 *1'0: '75053

40)* 507;' 605;' 70576 80&76 90'65 :06* 530'75

)604:332)606:33#6HULHV

3ULQWHU#LQWHUIDFH 6HULDO#LQWHUIDFH

560755$

&RPSXWHU VHULDO LQWHUIDFH

3ULQWHU VHULDO#SRUW +'%058,

)UDPH#JU1 6LJQDO#JU1 5[#WHUP1 7[#WHUP1

40)* 605'0 :06) <06'0 4306'. 4;05'.

2QWKHFRPSXWHUVHULDOSRUWLQYHVWLJDWHSLQDVVLJQPHQWVGHSHQGLQJRQWKHFRPSXWHU PDQXIDFWXUHUVLQVWUXFWLRQ6LQFHWKH56$FRQILJXUDWLRQGRHVQRWHPSOR\FRQWURO OLQHVH[FHSWIRUGDWDWUDQVPLVVWLRQUHFHSWLRQVHOHFWDPRGHLQZKLFKVLJQDOVVXFKDV '75DUHQRWXVHG 560565&#SURWRFRO 7KHVHULDOLQWHUIDFHVXSSRUWVWKHIXOOEDXGUDWHVRI DQGDQGNESV)RUDGMXVWLQJVHULDOLQWHUIDFH SDUDPHWHUVLQFOXGLQJEDXGUDWHSDULW\HWFUHIHUWRFKDSWHULQWKHSULQWHUV8VHUV 0DQXDO

)604:332)606:33#6HULHV

%RDUG#OD\RXWV

7URXEOHVKRRWLQJ

&KDSWHU#6L[# 7 5 2 8 % / ( 6 + 2 2 7 , 1 * #904

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

%RDUG#OD\RXWV

7URXEOHVKRRWLQJ

&+(&.,1*#&$66(77(#6,=(#6(16256#9077 'UXP#FOHDQLQJ#9078

)604:332)606:33#6HULHV

%RDUG#OD\RXWV

7URXEOHVKRRWLQJ

%RDUG#OD\RXWV
/LDLVRQ#ERDUG2.30837


6\PERO +DERYH, &RQQHFWRU <& <& <& <& <& <& <& <& &RQQHFWHG#WR= )DQODUJH 0DLQPRWRU )DQVPDOO 5HJLVWUDWLRQFOXWFK 3DSHUIHHGFOXWFK (QJLQHERDUG 0DQXDOIHHGFOXWFK )URQWRSHUDWRUSDQHO (3LQ02725 (3LQ027253LQ9

&KHFN#SRLQW

)604:332)606:33#6HULHV

%RDUG#OD\RXWV

7URXEOHVKRRWLQJ

6FDQQHU#LQWHUIDFH#ERDUG2.307;;

<&9:8
7#0#6&$1543#0#3'-

46#0#/$65:#0#'6&/. 4#0#.579

(QJLQH#ERDUG#FRQQHFWRUV2.30868

<&536#+7R VFDQQHU XQLW,26HH#EHORZ1 .579#0#46 /$65-#0#4

3'-#0#9 6&1&/.#0#;

45#0#6&$15-

)604:332)606:33#6HULHV

%RDUG#OD\RXWV

7URXEOHVKRRWLQJ

)XVHU#ERDUG2.307<<

<&:54#+.307<5,

8#0#7+(50-

;#0#.89

'UXP#FRQQHFWRU2<&0:74#+.30833#ERDUG,

.30833#ERDUG

3LQ#46 3LQ#4

)604:332)606:33#6HULHV

%RDUG#OD\RXWV
*HQHUDO#ZLULQJ#GLDJUDP#
1 G N D G N D G N D +5V +5V +5V FH EAT* 1
+24V

7URXEOHVKRRWLQJ

10
1

C N 1

P o w e r S u p p ly P o w e r S w it c h

C N 3

Y C 3 5 2

Y C 3 5 9

C N 2

C N 4 6

10

+24V 1

1 4

VLO W * M O N * FO P* FUP* H VER * H SCO PN H SPAP* U N IT * +24V GN D

F a c e -u p B o ard ( K P -4 9 3 )

Y C 3 5 4 Y C 3 7 1

1 10

1 4

Y C 7 0 2 6

S e n s o r B o a r d ( K P -4 9 8 )
Y C 7 0 1
F S -3 7 0 0 / + o n ly
F a c e -d o w n S e n s o r B o a r d ( K P -4 9 8 )

+24VCO M +24VCO M +24VCO M


1

SC O VER * PAPER* FEED * TN CO N * +24V +24V +24V FCO VER 1 TCO VER CAST2 CAST1 CAST0 G N D

Y C 3 5 4

Y C 3 5 8

1 0

+24V SCLK* +5V R ED Y SEL10 SEL11 SEL12 SD ATI SD ATO GN D Vd EM EU EP d K P -5 0 2 O T* N IT * AP* D N D S* N IT * V N D S* D


7 1

O p t io n s C o n n e c t o r
1 0

E n v e lo p e F e e d e r C o n n e c t o r

15

15 Y C 3 5 7

Y C 7 8 1

Y C 3 8 2

GN

+5V G N D H e a te r
T h e rm o C u to u t F u s e r U n it D r u m U n it

FD P FL* 3

H A PU +5 H A GN

Y C 7 2 4

F u s e r B o a r d ( K P -4 9 9 )
1 FCUP* +24V FD O W N * PAPFL* TH ERM * E X IT J* GND +5V 8 1

C o n n e c t B o a r d ( K P -4 9 2 )

1 0

+5V 1 2 1 3

TH ER M * T h e r m is t o r FCUP* S t a c k S e le c t + 2 4 V S o le n o id FD O W N *

Y C 7 2 3

Y C 7 2 1

Y C 3 5 3
3

+5V PD * GN D
1

Y C 7 2 2

W a ste T o n e r Level S ensor B o ard ( K P -5 0 6 ) Eraser LED A rray

+5V TN FU LL TSEN * ER ASER G N D

1 1 Y C 7 4 3 3 D ru m B o ard ( K P -5 0 0 ) Y C 7 4 1 1 Y C 7 4 2
8 2

TSEN * TN FU LL ER ASE 1 EECS EED O EESCK G N D Vcc Y C 8 2 2 +24V M H VD R * TH VD R * H VO N * B IA S * H VCK PSEL* TEN D +5V G N D
1 1

Zen n er B o ard ( K P -5 0 1 )

D ru m

Y C 8 2 1

D r u m R e la y B o a r d ( K P -5 0 5 )

Y C 3 5 6

8 1

C o n n e c t -B B o a r d ( K P -4 9 4 )

T o e n g in e c o n t r o lle r b o a r d ( K P -5 3 5 / Y C 2 0 2 )

C N 2 T r a n s f e r R o lle r D e v e lo p e r M a g . R o lle r H ig h -v o lt a g e B o ard Toner 1 Sensor 2 TN EN D * G N D


1 2

J3 5 2 Y C 3 5 5

J3 5 1

Y C 3 5 1

Toner M o to r

TD R V +24V
5 6

C N 1

14

G N D SCAN M D R V

14
14

)604:332)606:33#6HULHV

%RDUG#OD\RXWV
*HQHUDO#ZLULQJ#GLDJUDP#
A 1 -A 1 6 B 1 -B 1 6

7URXEOHVKRRWLQJ

E n g in e C o n t r o lle r B o a r d ( K P -5 3 5 )

M e m o r y C a r d D r iv e
E x p a n s io n S IM M S o c k e t E x p a n s io n S IM M S o c k e t Y C 2 0 1 Y C 1
S e r ia l B o a r d K P -6 3 5

P a r a lle l I/ O S e r ia l I/ O asdf

M a in C o n t r o lle r B o a r d ( K P -6 3 4 )
O p t io n I/ F C o n n e c t o r

O p t io n I/ O
M a in M o t o r
+24V 1 GN D M O TO R * 4 M TR CLK 4 1

R e la y B o a r d ( K P -5 0 4 )

Y C 8 0 2

Y C 8 0 3 1
11 +24V M O TO R REGDR* M TRCLK M FDDR* FEDDR* FAN* +5V F P D IR FPCLK 1 GND 1 1 2 11

+24V R EG D R * +24V FED D R * 2 +24V M FD D R * 2 FAN CO M 2 FAN D R* +5V FPDAT +5V F P D IR GND FPCLK 7 GND 7 B FAN CO M 1

R e g is t . C lu t c h F e e d C lu t c h M . F e e d C lu t c h V e n t ila t in g f a n

Y C 8 0 4 1 Y C 8 0 5 1

Y C 2 0 4

Y C 8 0 1

Y C 8 0 6 1

Y C 8 0 7

F ro n t O p e ra to r P a n e l ( K P -5 0 3 )

Y C 8 0 8 1 Y C 6 7 4
1 3 1 +5V PD GND 3 1

D FAN D R*

V e n t ila t in g f a n f o r c o n t r o lle r box

S c a n n e r R e la y B o a r d ( K P -4 8 8 )

P h o to D e te c t B o a r d ( K P -4 8 3 )

LASR* LO NB* VDO * +5V SDAT PD* 9

13 14 11 12 10 7 8 5 6

Y C 6 7 3
+5V LO N B* LASR* VDO * DSAT D SCLK LAT 8 GND 8 1 P o ly g o n M o t o r +24V 1 GND SCANER* SCRDY* 5 SCNCLK 5 1

Y C 2 0 4

D SCLK

Y C 2 0 4

SCN CLK LAT SCRDY* GND SCANR* +24V GNDP 2 1 4 3

Y C 6 7 5

A u t o m a t ic P o w e r C o n t r o lle r B o a r d ( K P -4 8 2 )

K P -4 9 4 / Y C 3 5 1

Y C 6 7 1
S A 0 1 E N G .D S F

L a s e r S c a n n e r U n it

)604:332)606:33#6HULHV

7URXEOHVKRRWLQJ

'LDJQRVWLF

'LDJQRVWLF
7KHSULQWHUDXWRPDWLFDOO\H[HFXWHVLWVVHOIGLDJQRVWLFWHVWZKHQLWLVSRZHUHGXS GLVSOD\LQJ6HOIWHVW7KHVHTXHQFHDQGWKHLWHPVWREHGLDJQRVHGDUHH[SODLQHG EHORZ :KHQWKHSULQWHUORFDWHVWKHHUURUZLWKDVSHFLILFLWHPLWFDOOVIRURSHUDWRUV DWWHQWLRQE\VKRZLQJWKHDSSURSULDWHPHVVDJHRQWKHRSHUDWRUSDQHOGLVSOD\ 7KHGLDJQRVWLFWHVWLVGRQHRQWKHIROORZLQJV\VWHPVVLPXOWDQHRXVO\ (QJLQHV\VWHP(HUURUV &RQWUROOHUV\VWHP)HUURUV )ORZFKDUWVRQWKHIROORZLQJSDJHVVKRZWKHRUGHUDQGWKHLWHPVGLDJQRVHGLQHDFK V\VWHP 1RWH1# 'LDJQRVWLF#WHVW#LV#FDQFHOOHG#LI#RQH#RI#WKH#XVHU0DFFHVVLEOH#FRYHUV#LV#RSHQHG GXULQJ#WKH#WHVW1

)604:332)606:33#6HULHV

7URXEOHVKRRWLQJ

'LDJQRVWLF

(QJLQH#GLDJQRVWLFV#IORZ
4
3RZHU#RQ

5
(QJLQH#520#FKHNVXP# 2." 1R

<
(9#0#(QJLQH#520#HUURU

<HV #

6
)XVHU#WKHUPLVWRU#2." 1R

43
(7#0#)XVHU#HUURU

<HV

7KH#KHDWHU#ODPS#LV#WXUQHG#RQ1# 7KH#VFDQQHU#SRO\JRQ#PRWRU#UHYROYHV1

7
3RO\JRQ#PRWRU#2." 1R

44
(5#0#3RO\JRQ#PRWRU# HUURU

<HV

7KH#SRO\JRQ#PRWRU#VWRSV#UHYROYLQJ1# 7KH#PDLQ#PRWRU#UHYROYHV1# 7KH#HUDVHU#DUUD\#WXUQV#RQ1#

8
(UDVHU#DUUD\#2." 1R

45
(8#0#(UDVHU#HUURU

<HV

7KH#HUDVHU#DUUD\#WXUQV#RII1

9
0DLQ#PRWRU#2." 1R

46
(4#0#0DLQ#PRWRU#HUURU

<HV

:
+HDWHU#WHPSHUDWXUH# 2." 1R

47
(7#0#+HDWHU#HUURU

<HV

7KH#PDLQ#PRWRU#WXUQV#RII1

;
(QJLQH#LV#UHDG\1

)604:332)606:33#6HULHV

7URXEOHVKRRWLQJ

'LDJQRVWLF

/RJLF#FRQWUROOHU#GLDJQRVWLFV#IORZ

4
3RZHU#RQ

5
6\VWHP#520#FKHNVXP# 2." 1R

9
)4#0#6\VWHP#520#HUURU

<HV

&RPPXQLFDWLRQ# HVWDEOLVKHG#EHWZHHQ# HQJLQH#DQG#PDLQ# &38V" <HV

1R

:
(3#0#&RPPXQLFDWLRQ# HUURU

7
6\VWHP#PHPRU\#2." 1R

;
)5#0#6\VWHP#PHPRU\# HUURU

<HV

8
&RQWUROOHU#LV#UHDG\1

)RUGHWDLOVRQKRZWRUHDFWWRWKHUHVXOWVRIGLDJQRVWLFVUHIHUWRVHFWLRQ6HUYLFH HUURUVRQSDJH

)604:332)606:33#6HULHV

*HQHUDO#HUURU#KDQGOLQJ

7URXEOHVKRRWLQJ

*HQHUDO#HUURU#KDQGOLQJ
3ULRULW\ (DFKHUURUPHVVDJHKDVDSULRULW\RYHUWKHRWKHUV7KXVLIWZRRUPRUHHUURU PHVVDJHVDUHJLYHQVLPXOWDQHRXVO\WKHHUURUPHVVDJHKDYLQJWKHKLJKHVWSULRULW\LV VKRZQ7KHSULRULW\LVDVIROORZVIURPWKHKLJKHVWWRWKHORZHVW
a 6KRUWDXGLRDODUPS /RQJDXGLRDODUP (UURU#PHVVDJH Call service person Call service person F0 I/F occupied Top cover open Paper feed unit open &DWHJRU\ 6HUYLFHHUURU 6HUYLFHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU ,IQRWXVHUUHFRYHUDEOHVHH)DOVH HUURUV7RS&RYHU2SHQSDJH ,IQRWXVHUUHFRYHUDEOHVHH)DOVH HUURUV3DSHU)HHG8QLW2SHQSDJH ,IQRWXVHUUHFRYHUDEOHVHH)DOVH HUURUV6LGHFRYHU2SHQSDJH :KHQD+6LVLQVWDOOHG :KHQD+6(LVLQVWDOOHG :KHQD3)LVLQVWDOOHG :KHQD6267LVLQVWDOOHG :KHQD'8LVLQVWDOOHG 5HPDUNV 6HH'LDJQRVWLFVVHFWLRQ 6HH'LDJQRVWLFVVHFWLRQ

Side cover open Paper handler cover open Option stacker cover open Opt. Feeder 1 (2) rear cover open Opt. Stacker unit rear cover open Duplex unit rear cover open Replace Toner/Clean printera Missing Waste-toner bottle

8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU

,IQRWXVHUUHFRYHUDEOHVHH)DOVH HUURUV0LVVLQJ:DVWHWRQHUERWWOH SDJH

Replace Waste-toner bottlea

8VHUUHFRYHUDEOHHUURU

Clean printer Press CONTINUEa 8VHUUHFRYHUDEOHHUURU Paper jama Remove Opt. Stacker papera Option Stacker paper fulla Face-down tray paper filla 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU +6( )6RQO\ )604:332)606:33#6HULHV

*HQHUDO#HUURU#KDQGOLQJ

7URXEOHVKRRWLQJ

(UURU#PHVVDJH Paper path errora MEMORY CARD err Insert again Insert the same MEMORY CARD Print Cancel? Memory overflow Press CONTINUEa

&DWHJRU\ 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU

5HPDUNV

Print overrun Press CONTINUEa 8VHUUHFRYHUDEOHHUURU KPDL error Press CONTINUEa MEMORYCARD err Press CONTINUEa Opt. ROM error Press CONTINUEa Set paper/Press CONTINUEa Load papera Add paperS Self test Sleeping Please wait PJL OPMSG/STMSG Processing Waiting FormFeed TimeOut Option interface Error Toner low TK-20/Clean printer Warning/Low memory Battery error/MEMORY CARD Format error/MEMORY CARD Warning battery/MEMORY CARD Ready 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU 8VHUUHFRYHUDEOHHUURU

)604:332)606:33#6HULHV

8VHU0UHFRYHUDEOH#HUURUV

7URXEOHVKRRWLQJ

8VHU0UHFRYHUDEOH#HUURUV
8VHUUHFRYHUDEOHHUURUVGRQRWQRUPDOO\UHTXLUHDVHUYLFHFDOOXQOHVVWKHVXJJHVWHG UHPHG\GRHVQRWVROYHWKHP7KHLQVWUXFWLRQVEHORZLQGLFDWHKRZWRUHVSRQGWR SUREOHPVLQGLFDWHGE\WKHRSHUDWRUSDQHOV\PEROLFLQGLFDWRUVDQGE\WKHSDQHO GLVSOD\

,QGLFDWRU )ODVKLQJ

&RUUHFWLYH#DFWLRQ 7KHSULQWHUKDVUXQORZRQWRQHU7KHWRQHUVKRXOGEHUHSODFHGDV VRRQDVSRVVLEOH

/LW )DVWIODVKLQJ

,QVWDOODQHZWRQHUNLW6HHFKDSWHU 7KHUHLVDSDSHUMDP7KHUHLVDSRVVLELOLW\WKDWSDSHUPD\EH MDPPHGDWWKHSRLQWLQGLFDWHGE\IODVKLQJRSHQDQGUHPRYHDQ\ MDPPHGSDSHU6HH6HFWLRQ

6ORZIODVKLQJ 7KHSDSHUKDVUXQRXWLQWKHSDSHUFDVVHWWHRUPXOWLSXUSRVH WUD\3OHDVHLQVHUWSDSHU6HH6HFWLRQ /LW $77(17,21 )ODVKLQJ 7KLVLQGLFDWHVHLWKHUWKHFXUUHQWSDSHUIHHGHURUWKHSDSHURXWSXW SRLQW 7KHSULQWHUKDVLQVXIILFLHQWPHPRU\DYDLODEOHRUWKHSULQWHULV ZDUPLQJXS3OHDVHZDLW&RQILUPWKHPHVVDJHLQGLFDWHGRQWKH PHVVDJHGLVSOD\6HH6HFWLRQ 1RWHWKHPDLQWHQDQFHPHVVDJHRQWKHPHVVDJHGLVSOD\DQG FRQVXOW7DEOH

/LW

0HVVDJH Top cover Open 6LGHFRYHU2SHQ 3DSHUIHHGXQLW2SHQ )DFHGRZQWUD\SDSHUIXOO

&RUUHFWLYH#DFWLRQ 2SHQWKHWRSFRYHUWKHQFORVHWLJKWO\ 2SHQWKHVLGHFRYHUWKHQFORVHWLJKWO\ 2SHQWKHSDSHUIHHGXQLWWKHQFORVHWLJKWO\ 7KHIDFHGRZQWUD\KDVEHFRPHIXOODSSUR[SDJHV5HPRYH DOOSULQWHGSDJHVIURPWKHIDFHGRZQWUD\:KHQWKHSULQWHU VHQVHVWKDWWKHIDFHGRZQWUD\LVHPSW\DJDLQLWZLOOFRQWLQXHV SULQWLQJLQWRWKHIDFHGRZQWUD\0RGHO)6RQO\

)604:332)606:33#6HULHV

8VHU0UHFRYHUDEOH#HUURUV

7URXEOHVKRRWLQJ

0HVVDJH $GGSDSHU 6HWSDSHU3UHVV&217,18( /RDGSDSHUSDSHUVL]H

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

3DSHUMDP :DUQLQJORZPHPRU\

7RQHUORZ7.&OHDQSULQWHU 5HSODFH7RQHU&OHDQSULQWHU

&OHDQSULQWHU3UHVV&217,18(3OHDVHFOHDQWKHLQVLGHRIWKHSULQWHU6HH6HFWLRQ7KLV PHVVDJHZLOOEHGLVSOD\HGZKHQUHSODFLQJWKHWRQHUFRQWDLQHU DIWHUWKHPHVVDJH5HSODFH7RQHU&OHDQSULQWHUKDVEHHQ GLVSOD\HG$IWHUFOHDQLQJWKHLQVLGHRIWKHSULQWHUSUHVVWKH &217,18(NH\DQGWKHSULQWHUZLOOEHUHDG\IRUSULQWLQJ 5HSODFH:DVWHWRQHUERWWOH 5HSODFHWKHROGZDVWHWRQHUERWWOHZLWKWKHQHZRQHZKLFKLV LQFOXGHGLQWKH7.7.+WRQHUNLW7KHPHVVDJHZLOODOVR EHVKRZQLIWKHZDVWHWRQHUERWWOHKDVEHFRPHIXOO7KHZDVWH WRQHUERWWOHVKRXOGEHUHSODFHGZKHQWKHPHVVDJHGLVSOD\ HYHQWXDOO\VKRZV7RQHUORZ7.&OHDQSULQWHU6HH6HFWLRQ ,QVWDOOWKHZDVWHWRQHUERWWOH6HH6HFWLRQ7KHSULQWHUGRHV QRWRSHUDWHZKHQWKLVPHVVDJHLVGLVSOD\HG 7KHWRWDODPRXQWRIGDWDUHFHLYHGE\WKHSULQWHUH[FHHGVWKH SULQWHUVLQWHUQDOPHPRU\7U\DGGLQJPRUHPHPRU\H[SDQVLRQ 5$03UHVVWKH&217,18(NH\WRUHVXPHSULQWLQJ<RXFDQ DEDQGRQSULQWLQJE\WKH&$1&(/NH\ 7KHGDWDWUDQVIHUUHGWRWKHSULQWHUZDVWRRFRPSOH[WRSULQWRQD

0LVVLQJ:DVWHWRQHUERWWOH 0HPRU\RYHUIORZ3UHVV &217,18(

3ULQWRYHUUXQ3UHVV

)604:332)606:33#6HULHV

8VHU0UHFRYHUDEOH#HUURUV

7URXEOHVKRRWLQJ

0HVVDJH &217,18(

&RUUHFWLYH#DFWLRQ SDJH3UHVVWKH&217,18(NH\WRUHVXPHSULQWLQJ7KHSDJH PD\EUHDNLQVRPHSDJHV<RXFDQDEDQGRQSULQWLQJE\WKH &$1&(/NH\1RWH$IWHUWKLVPHVVDJHKDVEHHQGLVSOD\HG3DJH SURWHFWPRGHZLOOEH2Q7RPDLQWDLQRSWLPXPXVHRIPHPRU\ GXULQJSULQWLQJGLVSOD\!3DJHSURWHFWIURPWKHFRQWUROSDQHO DQGUHVHOHFW$XWR6HHWKHSULQWHUVXVHUVPDQXDO

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

)RUPDWHUURU0(025<&$5'

:DUQLQJEDWWHU\0(025< &$5'

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

,)RFFXSLHG

3URFHVVLQJ3$5),7$

)604:332)606:33#6HULHV

8VHU0UHFRYHUDEOH#HUURUV

7URXEOHVKRRWLQJ

0HVVDJH 3URFHVVLQJ3$5$ 3URFHVVLQJ3$5$

&RUUHFWLYH#DFWLRQ &KDQJHRIWKHUHVROXWLRQLQGLFDWRUIURPWRIODVKLQJ PHDQVWKDWWKHMRELQGSLUHVROXWLRQZDVQRWDEOHWRUXQ ZLWKLQWKHFXUUHQWO\DYDLODEOHPHPRU\7KHUHVROXWLRQUHYHUWVWR GSLDXWRPDWLFDOO\ZKHQWKHMREWLPHVRXWWKHSULQWHU UHFHLYHVWKHQH[WGDWDIURPWKHKRVWFRPSXWHURULI\RXSUHVV DQ\NH\RQWKHSULQWHUVFRQWUROSDQHO7U\DGGLQJPRUHPHPRU\ LQWKHSULQWHUWRSUHYHQWWKLVHUURU

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

02 03 04 05 06 07 08 09

65$0 65$0IOXVK 65$0 65$0 65$0 65$0 65$0 65$0

10 11 12

65$0

)604:332)606:33#6HULHV

8VHU0UHFRYHUDEOH#HUURUV

7URXEOHVKRRWLQJ

(UURU FRGH 13 14 15 16 17

$SSOLFDEOH#FDUG W\SH )OXVK )ODVK )OXVK

0HDQLQJ (UDVHORJLFHUURUZLWKIODVKPHPRU\FDUG7U\UHSODFLQJWKH PHPRU\FDUG 5HVHUYHG 1RQ3&0&,$IOXVKFDUG5HSODFHWKHFDUGZLWKD3&0&,$IOXVK FDUG 5HVHUYHG 8QDEOHWRZULWHWRWKHIODVKPHPRU\FDUGGXHWRLQVXIILFLHQWSULQWHU PHPRU\(LWKHUGHOHWHXQQHFHVVDU\PDFURVRUIRQWVVWRUHGLQWKH SULQWHURUH[WHQGWKHSULQWHUVDYDLODEOHPHPRU\ :ULWLQJHUURU7U\UHSODFLQJWKHPHPRU\FDUG 5HVHUYHG

18 19

)OXVK

)RUGHWDLOVRQPHPRU\FDUGDYDLODELOLW\VHHVHFWLRQ3ULQWHUVSHFLILFDWLRQVLQFKDSWHU

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

6HUYLFH#HUURUV
7KHSULQWHUGRHVQRWRSHUDWHZKHQDPHVVDJHEHJLQQLQJZLWK()RU&LVGLVSOD\HG 7KHWRWDOQXPHURISDJHVSULQWHGLVDOVRLQGLFDWHG7KHPHVVDJHLVFDWHJRUL]HGDV IROORZV
0HVVDJH &DOOVHUYLFHSHUVRQ(Q &DOOVHUYLFHSHUVRQ)Q &DOOVHUYLFHSHUVRQ&Q &RUUHFWLYH#DFWLRQ 0HFKDQLFDOHUURUQ )ROORZWKHDSSURSULDWHLQVWUXFWLRQV SURYLGHGLQWKLVVHFWLRQ &RQWUROOHUHUURUQ )ROORZWKHDSSURSULDWHLQVWUXFWLRQV SURYLGHGLQWKLVVHFWLRQ 2SWLRQHTXLSPHQWHUURUQ 7KLVPHVVDJHSHUWDLQVWR HLWKHUWKHVRUWHURUGXSOH[HU&WKURXJK&DUHUHOHYDQWWRWKH GXSOH[HU&WKURXJK&WRWKHVRUWHU6HHWKHVHUYLFHPDQXDO DSSURSULDWHWRWKHRSWLRQXVHGZLWKWKHSULQWHU (QJLQHILUPZDUHGRZQORDGHUURUQ 6HHVHFWLRQ 8SGDWLQJWKHHQJLQHILUPZDUHLQFKDSWHU

&DOOVHUYLFHSHUVRQ'Q

(3#0#&RPPXQLFDWLRQ#HUURU
0HDQLQJ &RPPXQLFDWLRQEHWZHHQWKH HQJLQHFRQWUROOHUDQGWKH PDLQFRQWUROOHULVIDLOHG 6XJJHVWHG#FDXVHV &RQWUROOHUJDWHDUUD\GHIHFW &RQQHFWRUIDLOXUHEHWZHHQWKHHQJLQH DQGWKHPDLQFRQWUROOHU 2YHUUXQLQWKHHQJLQHV\VWHP GHDFWLYDWLQJWKHSURJDPIODVK520 &RUUHFWLYH#DFWLRQ 9HULI\FRQQHFWRUFRQQHFWLRQV 5HSODFHWKHHQJLQHERDUG DQGRUWKHPDLQFRQWUROOHU ERDUG

(4#0#0DLQ#PRWRU#HUURU
0HDQLQJ 7KHPDLQPRWRULV RYHUWRUTXHG 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ

2YHUFXUUHQWLQWKHPDLQPRWRUFLUFXLWU\ )ROORZWKHIORZFKDUWRQWKH QH[WSDJH GXHWRDQD[FHVVLYHWRUTXH /RRVHFRQQHFWRU 'HIHFWLYHJDWHDUUD\RQWKHHQJLQHERDUG 1RUHVSRQVHIURPWKHPDLQPRWRUGXHWR WKHGHIHFWLYHPRWRUGULYHUWUDQVLVWRU

)604:332)606:33#6HULHV

6HUYLFH#HUURUV
4
&DOO#6HUYLFH#SHUVRQ# (4

7URXEOHVKRRWLQJ

5
&RQQHFW#FLUFXLW#WHVWHU# WR#SLQ#6#RI#<&0;35#RQ# .30837#ERDUG1

6
7XUQ#SULQWHU#SRZHU# RII/#WKHQ#RQ1

7
,V#SLQ#6#+02725-,#RI# <&0;35#DW#ORZ" 1R

;
&RQQHFW#FLUFXLW#WHVWHU# WR#SLQ#43#RI#<&0;34# RQ#.30837#ERDUG1

<HV ,V#SLQ#43# +02725-,#RI# <&0;34#DW#ORZ"

<

1R

7XUQ#SULQWHU#SRZHU# RII/#WKHQ#RQ#DJDLQ1

<HV

5HSODFH#.30868# ERDUG1

44

9
6TXDUH0ZDYH#VLJQDO# DW#SLQ#72<&0;35" 1R

5HSODFH#.30837# ERDUG1

43

<HV

45
.579#DW#SLQ# 42<&0;35#RQ#.30837# ERDUG1 1R

5HSODFH#.30837#ERDUG1#,I# QRW#VROYHG/#UHSODFH#.30868# ERDUG1

<HV

5HSODFH#.30837#ERDUG1#,I# QRW#VROYHG/#UHSODFH#.30868# ERDUG1

47

5HSODFH#PDLQ#PRWRU1#,I#QRW# VROYHG/#UHSODFH#KDUQHVV# EHWZHHQ#.30837#DQG#PDLQ#

46

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

(5#0#/DVHU#VFDQQHU#PRWRU#HUURU
0HDQLQJ 7KHSRO\JRQPRWRUGRHVQRW GHOLYHUDV\QFKURQRXVRXWSXW /ZLWKLQWKHSUHGHWHUPLQHG SHULRGRIWLPH 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ

7LPHRXWLQWKHSUHGHWHUPLQHGSHULRGRI )ROORZWKHIORZFKDUWRQWKH OHDGWLPHZKLFKWKHVFDQQHUPRWRUVSHHG QH[WSDJH KDVWREHUHDFKHGDWVWDUWXS6&5'< &RQQHFWRULQVHUWLRQHUURU 'HIHFWLYHJDWHDUUD\RQWKHHQJLQHERDUG 7LPHRXWGXUWRWKHGHIHFWLYHVFDQQHU PRWRUGULYHUWUDQVLVWRU

)604:332)606:33#6HULHV

6HUYLFH#HUURUV
4
&DOO#6HUYLFH#SHUVRQ# (5

7URXEOHVKRRWLQJ

5
&RQQHFW#FLUFXLW#WHVWHU# WR#SLQ#7#RI#<&9:8#RQ# .307;;1

6
,V#SLQ#7#+6&$15-,# DW#ORZ" 1R

<
&RQQHFW#FLUFXLW#WHVWHU# WR#SLQ#45#RI#<&536#RQ# .30868#ERDUG1

43
7XUQ#SULQWHU# SRZHU#RII/#WKHQ# RQ#DJDLQ1

44
3ULQW#D#VWDWXV# SDJH1

<HV

7XUQ#SULQWHU#SRZHU# RII/#WKHQ#RQ#DJDLQ1

47
7XUQ#SULQWHU# SRZHU#RII/#WKHQ# RQ#DJDLQ1

8
3ULQW#D#VWDWXV# SDJH1

,V#SLQ#45# +6&$15-,#RI# <&0536#DW#ORZ"

45

1R

48 9
6TXDUH0ZDYH#VLJQDO# DW#SLQ#;2<&9:8#RQ# .307;;#ERDUG" 1R 3ULQW#D#VWDWXV# SDJH1

<HV

<HV

49
6TXDUH0ZDYH#VLJQDO# DW#SLQ#;2<&536#RQ# .30868#ERDUG" .579#DW#SLQ# 42<&09:8#RQ# .307;;" 1R

1R

<HV

<HV

;
5HSODFH#VFDQQHU#XQLW1

4:
.579#DW#SLQ# 462<&536#RQ#.30868# ERDUG" 1R

<HV

5HSODFH#KDUQHVV#+635373,# EHWZHHQ#.30868#ERDUG#DQV# VFDQQHU#XQLW1

4;

5HSODFH#.30868# ERDUG1

46

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

(6#0#/DVHU#EHDP#GHWHFWLRQ#HUURU
0HDQLQJ %HDPGHWHFWLRQLVIDLOHG7KH SKRWRGHWHFWRUERDUGGRHVQRW GHOLYHUDV\QFKURQRXVRXWSXW / 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ

1REHDPKLWGXHWRWKHODVHUGLRGHGHIHFW )ROORZWKHIORZFKDUWRQWKH QH[WSDJH 3' ,PSURSHUFRQQHFWRULQVHUWLRQ 6RLOHGGHIHFWLYHEHDPGHWHFWRUSLQ SKRWRGLRGHVHQVRU 'HIHFWLYHVDIHW\ORFN 8QRSHUDWLYHJDWHDUUD\LQSXWSRUW

)604:332)606:33#6HULHV

6HUYLFH#HUURUV
&DOO#6HUYLFH# SHUVRQ# (6

7URXEOHVKRRWLQJ

&RQQHFW#FLUFXLW# WHVWHU#WR#SLQ#46# RI#<&9:82.37;;# ERDUG1

7XUQ#SULQWHU# SRZHU#RQ/#WKHQ# RQ1

3ULQW#D#VWDWXV# SDJH1

,V#SLQ#46# +/$65-,#DW# ORZ" <HV 7XUQ#SULQWHU#SRZHU# RII/#WKHQ#RQ#DJDLQ1

1R

&RQQHFW#FLUFXLW# WHVWHU#WR#SLQ#4#RI# <&536#RQ#.30868# ERDUG1

7XUQ#SULQWHU# SRZHU#RII/#WKHQ# RQ#DJDLQ1

3ULQW#D# VWDWXV#SDJH1

,V#SLQ#4# +/$65-,#DW# ORZ" <HV

1R

3ULQW#D# VWDWXV#SDJH1

5HSODFH# .30868#ERDUG1

5HSODFH#KDUQHVV# EHWZHHQ#.30868#DQG# VFDQQHU#XQLW1

/RZ0OHYHO#SXOVH# DW#SLQ#432<&9:8# RQ#.307;;# ERDUG" <HV

1R

5HSODFH# VFDQQHU#XQLW1

7XUQ#SULQWHU#SRZHU# RII/#WKHQ#RQ#DJDLQ1

/RZ0OHYHO#SXOVH# DW#SLQ#92<&536# RQ#.30868# ERDUG" <HV

1R

3ULQW#D# VWDWXV#SDJH1

5HSODFH#KDUQHVV# EHWZHHQ#.30868#ERDUG# DQG#VFDQQHU#XQLW1

5HSODFH# .30868#ERDUG1

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

(7#0#)XVHU#KHDWHU#HUURU
0HDQLQJ 7KHIXVHUKHDWHULVQRWLQWDFW GXHWRGLVFRQQHFWLRQRUWKH FLUFXLWIDLOXUH 6XJJHVWHG#FDXVHV %ORZQRXWWKHUPLVWRU ,PSURSHUFRQQHFWRULQVHUWLRQ %ORZQRXWKDORJHQKHDWHU %ORZQRXWWKHUPRVWDW &RPSDUDWRUGHIHFWRQWKHHQJLQHERDUG 'HIHFWLYHHQJLQH&38LQSXWSRUW 'HIHFWLYHJDWHDUUD\LQSXWRXWSXWSRUW RSHUDWLRQ &RUUHFWLYH#DFWLRQ )ROORZWKHIORZFKDUWRQWKH QH[WSDJH

)604:332)606:33#6HULHV

6HUYLFH#HUURUV
&DOO#6HUYLFH# SHUVRQ# (7

7URXEOHVKRRWLQJ

%(7%#VKRZQ# LPPHGLDWHO\# DIWHU#SRZHU#XS" <HV 7XUQ#SULQWHU#SRZHU# RII#DQG#UHPRYH# SRZHU#FDEOH1

1R

+HDWHU#WHPS1# SHUVLVWV#DW# 543&"# 1R

<HV

0HDVXUH#'&#UHVLVWDQFH# EHWZHHQ#SLQV#8#DQG# ;2<&:54#RQ#.307<<# +IXVHU,#ERDUG1

5HSODFH#.30868# ERDUG1

5HSODFH# IXVHU#XQLW1

/HVV#WKDQ#40"

1R 5HSODFH#IXVHU# XQLW1

0HDVXUH#IXVHU# UROOHU# WHPSHUDWXUH1

<HV 4;30553& " <HV 5HSODFH#.30868#ERDUG1# ,I#QRW#VROYHG/#UHSODFH# SRZHU#VXSSO\1 1R

5HSODFH#.30868#ERDUG1#,I#QRW# VROYHG/#UHSODFH#.307<7#ERDUG1#,I# QRW#VROYHG/#UHSODFH#KDUQHVV# EHWZHHQ#.307<<#DQG#.307<5# ERDUGV1

(QG

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

(8#0#(UDVHU#HUURU
0HDQLQJ 7KHHUDVHULVEORZQRXWRU WKHSRZHUVXSSO\GRHVQRW UHDFKWRWKHHUDVHU 6XJJHVWHG#FDXVHV %ORZQRXW/('FKLSV &RQQHFWRULQVHUWLRQHUURU 'HIHFWLYHJDWHDUUD\LQSXWRXWSXWSRUW &RUUHFWLYH#DFWLRQ )ROORZWKHIORZFKDUWRQWKH QH[WSDJH

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

&DOO#6HUYLFH# SHUVRQ# (8

5HSODFH#GUXP# XQLW1

0HDVXUH#'&# UHVLVWDQFH#EHWZHHQ# SLQV#4#DQG#462<&:74# RQ#.30833#ERDUG1

,QILQLW\"

1R

<HV

5HSODFH#.30868#ERDUG1#,I#QRW# VROYHG/#UHSODFH#.307<7# ERDUG1#,I#QRW#VROYHG/#UHSODFH# .30838#ERDUG1

5HSODFH#HUDVHU#DVVHPEO\#LQ# GUXP#XQLW1#,I#QRW#VROYHG/# UHSODFH#.30833#ERDUG1

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

(9#0#)ODVK#520#HUURU
0HDQLQJ &KHFNVXPLVHUURQHRXVZLWK WKHIODVK520 6XJJHVWHG#FDXVHV 'DWDUHDGRXWHUURURQWKHIODVK520 &RUUHFWLYH#DFWLRQ 5HSODFHWKHHQJLQHERDUG

(<#0#7RQHU#PRWRU#HUURU
0HDQLQJ 7KHWRQHUPRWRULV RYHUWRUTXHG 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ

2YHUFXUUHQWLQWKHWRQHUPRWRUFLUFXLWU\ )ROORZWKHIORZFKDUWRQWKH QH[WSDJH GXHWRDQD[FHVVLYHWRUTXH /RRVHFRQQHFWRU 'HIHFWLYHJDWHDUUD\RQWKHHQJLQHERDUG 'HIHFWLYHWRQHUPRWRURYHUFXUUHQW GHWHFWRU

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

&DOO#6HUYLFH# SHUVRQ# (<

5HSODFH#ZLWK#D#QHZ# GHYHORSHU#XQLW1

(<#JRHV# RXW"

1R

<HV

5HSODFH#.30868# ERDUG1

(QG

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

)3#0#)URQW#FRQWURO#SDQHO#HUURU
0HDQLQJ &RPPXQLFDWLRQLVIDLOHG EHWZHHQWKHIURQWSDQHODQG WKHPDLQFRQWUROOHU 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ 5HSODFHWKHPDLQFRQWUROOHU ERDUG7RUHPRYHWKHPDLQ FRQWUROOHUERDUGVHHSDJH

)4#0#6\VWHP#520#HUURU
0HDQLQJ &KHFNVXPLVIDLOHGZLWK (3520VRQWKHPDLQ FRQWUROOHUERDUG 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ 5HSODFHWKHPDLQFRQWUROOHU ERDUG7RUHPRYHWKHPDLQ FRQWUROOHUERDUGVHHSDJH

)5#0#0DLQ#PHPRU\#HUURU
0HDQLQJ &KHFNVXPLVIDLOHGZLWKWKH 5$0RQWKHPDLQFRQWUROOHU ERDUG 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ 5HSODFHWKHPDLQFRQWUROOHU ERDUG7RUHPRYHWKHPDLQ FRQWUROOHUERDUGVHHSDJH

)6#0#*HQHUDO#IDLOXUH
0HDQLQJ 0LVFHOODQHRXVIDLOXUHZLWK WKHPDLQFRQWUROOHURWKHU WKDQ))DQG)DERYH 6XJJHVWHG#FDXVHV &RUUHFWLYH#DFWLRQ 7XUQSULQWHUSRZHURIIWKHQ RQDJDLQ,IQRWVROYHG UHSODFHWKHPDLQFRQWUROOHU ERDUG7RUHPRYHWKHPDLQ FRQWUROOHUERDUGVHHSDJH

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

)DOVH#HUURUV#0#3DSHU#)HHG#8QLW#2SHQ

)DOVH#%3DSHU#IHHG# XQLW#RSHQ%

&RQQHFW#FLUFXLW#WHVWHU#WR# SLQ#:2<&:34#RQ#.307<;# ERDUG1

3LQ#:#+)&29(5,# JRHV#ORZ"

1R

<HV &RQQHFW#FLUFXLW# WHVWHU#WR#SLQ# 792<&535#RQ# .30868#ERDUG1

5HSODFH#.307<;# ERDUG1

3LQ#79#JRHV# ORZ" <HV

1R

5HSODFH#.307<5# ERDUG1

5HSODFH#.30868# ERDUG1

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

)DOVH#HUURUV#0#7RS#&RYHU#2SHQ
)DOVH#%7RS#FRYHU# 2SHQ%

3LQ# 82<&:342.307<;# +7&29(5,#JRHV# ORZ" <HV &RQQHFW#FLUFXLW# WHVWHU#WR#SLQ# 782<&535#RQ# .30868#ERDUG1

1R

5HSODFH#.307<;# ERDUG1

3LQ#78#JRHV# ORZ" <HV

1R

5HSODFH#.307<5# ERDUG1

5HSODFH#.30868# ERDUG1

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

)DOVH#HUURUV#0#6LGH#FRYHU#2SHQ
)DOVH#%6LGH#FRYHU# 2SHQ%

3LQ# 482<&:342.37<;# +6&29(5,#JRHV# ORZ"

1R

<HV 5HSODFH#.307<;# ERDUG1

&RQQHFW#FLUFXLW# WHVWHU#WR#SLQ# 652<&535#RQ# .30868#ERDUG1

3LQ#65#JRHV# ORZ" <HV

1R

5HSODFH#.307<5# ERDUG1

5HSODFH#.30868# ERDUG1

)604:332)606:33#6HULHV

6HUYLFH#HUURUV

7URXEOHVKRRWLQJ

)DOVH#HUURUV#0#0LVVLQJ#:DVWH0WRQHU#ERWWOH
)DOVH#%0LVVLQJ# :DVWH0WRQHU# ERWWOH%

3LQ# 452<&:342.307<;# +71&21-,#JRHV# ORZ" <HV &RQQHFW#FLUFXLW# WHVWHU#WR#SLQ# 642<&535#RQ# .30868#ERDUG1

1R

5HSODFH#.307<;# ERDUG1

3LQ#64#JRHV# ORZ" <HV

1R

5HSODFH#.307<5# ERDUG1

5HSODFH#.30868# ERDUG1

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

3ULQW#TXDOLW\#SUREOHPV
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

&KHFNWKHODVHUVFDQQHU

$OO0EODFN#SULQWRXW &KHFNWKHPDLQFKDUJHUXQLW LQVWDOODWLRQ 2SHQWKHSULQWHUVLGHFRYHUDQGFKHFNWKDW WKHPDLQFKDUJHUXQLWLVFRUUHFWO\VHDWHG7R GRWKLVWDNHRXWWKHPDLQFKDUJHUXQLWIURP WKHSULQWHUWKHQUHLQVWDOOLWFDUHIXOO\ 7KHJULGSODWHPXVWEHIODWDQGILW KRUL]RQWDOO\LQSODFH5HSODFHWKHPDLQ


)604:332)606:33#6HULHV

&KHFNWKHJULGSODWHWKHPHVK PHWDOERWWRPSDUWRIWKH

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

FKDUJHUXQLW &KHFNWKHGUXPELDV &KHFNKLJKYROWDJHSRWHQWLDODW WKH+9ERDUG

FKDUJHUXQLWLIQHFHVVDU\ 0DNHVXUHWKHELDVIURPWKH+9ERDUGLV FRUUHFWO\DUULYHGDWWKHGUXPXQLW &KHFNWKHKLJLYROWDJHRXWSXWRQWKH+9 ERDUG7KLVUHTXLUHVUHPRYDORIWKHOHIWVLGH FRYHUDQGWKHWHVWHTXLSPHQW)RU LQIRUPDWLRQFRQWDFW.\RFHUD5HSODFHWKH+9 ERDUGLIKLJKYROWDJHSRWHQWLDOLVQRWDYDLODEOH RQWKHERDUG

'URSRXWV

1RWHWKHVSDFLQJRIWKHGHIHFWV 8VHWKH5HSHWLWLYHGHIHFWJDXJH RQSDJH

,IWKHGHIHFWVRFFXUDWUHJXODULQWHUYDOVRI PPWKHSUREOHPPD\EHDGLUW\WUDQVIHU UROOHU&OHDQRUUHSODFHWKHWUDQIHUUROOHU ,IWKHGHIHFWVRFFXUDWUHJXODULQWHUYDOVRI PPWKHSUREOHPPD\EHDGDPDJHGGUXP XQLWRUIXVHUUROOHU5HSODFHWKHGUXPXQLWRU IXVHUXQLWDFFRUGLQJO\

7U\FKDQJLQJWKHWUDQVIHUELDV SRWHQWLDO1RUPDORU7KLFN &KHFNSDSHUIRUSURSHUW\ &KHFNWKHSDSHUFKXWH LQVWDOODWLRQ

8VHWKH02'(#6(/(&7NH\RQWKHSULQWHUV FRQWUROSDQHO)RUGHWDLOVUHIHUWRWKHXVHU PDQXDODFFRPSDQ\LQJWKHSULQWHU 3DSHUZLWKUXJJHGVXUIDFHRUGXPSWHQGVWR FDXVHWKLVW\SHRIIDLOXUH 7KHSDSHUFKXWHWKHPHWDOOLFIL[WXUHSURYLGHG EHWZHHQWKHWUDQVIHUUROOHUDQGWKHIXVHUXQLW IRUDQWLVWDWLFSXUSRVHPXVWQRWEHILWORRVH 3UHVVWKHSDSHUFKXWHGRZQILUPO\LI


)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

QHFHVVDU\ &KHFNWKHWUDQVIHUUROOHU LQVWDOODWLRQ 7KHWUDQVIHUUROOHUPXVWEHVXSSRUWHGE\WKH D[OHKROGHUDWWKHERWKHQGV&OHDQWKHD[OH KROGHUWRUHPRYHRLODQGGHEULV5HSODFHWKH WUDQVIHUUROOHULIQHFHVVDU\ &KHFNWKHWUDQVIHUELDVRXWSXWRQWKH+9 ERDUG7KLVUHTXLUHVUHPRYDORIWKHOHIWVLGH FRYHUDQGWKHWHVWHTXLSPHQW)RU LQIRUPDWLRQFRQWDFW.\RFHUD5HSODFHWKH+9 ERDUGLIKLJKYROWDJHSRWHQWLDOLVQRWDYDLODEOH RQWKHERDUG

&KHFNWKHWUDQIHUELDV SRWHQWLDO

%ODFN#GRWV 1RWHWKHVSDFLQJRIWKHGHIHFWV 8VHWKH5HSHWLWLYHGHIHFWJDXJH RQSDJH ,IWKHGHIHFWVRFFXUDWUHJXODULQWHUYDOVRI PPWKHSUREOHPPD\EHDGDPDJHGGUXP XQLWRUIXVHUUROOHU5HSODFHWKHGUXPXQLWRU IXVHUXQLWDFFRUGLQJO\ ,IWKHGHIHFWVRFFXUDWUDQGRPLQWHUYDOVWKH WRQHUPD\EHOHDNLQJIURPWKHGUXPXQLW 5HSODFHWKHGUXPXQLW ,IWKHGHIHFWVRFFXUDWUHJXODULQWHUYDOVRI PPWKHSUREOHPPD\EHDWRQHUOXPSRQWKH GHYHORSLQJUROOHU5HPRYHWKHOXPSXVLQJD VRIWEUXVK1RWHWKDWWKHGHYHORSLQJUROOHU VXUIDFHLVIUDJLOH&RQWDFW.\RFHUDIRUW\SHRI WKHEUXVKWRXVH

+RUL]RQWDO#VWUHDNV &KHFNGUXPJURXQG 7KHGUXPD[OHDQGLWVFRXQWHUSDUWGUXP JURXQGLQJWDELQWKHSULQWHUPXVWEHLQDJRRG FRQWDFW,IQHFHVVDU\DSSO\DVPDOODPRXQWRI HOHFWURFRQGXFWLYHJUHDVHRQWRWKHWDE6HH .\RFHUDIRUZKLFKW\SHRIJUHDVHWRXVH 7DNHRXWWKHPDLQFKDUJHUXQLWFKHFNWKH

&KHFNPDLQFKDUJHUFRQWDFWV

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

HOHFWULFWHUPLQDOVWRVHHLIWKH\DUHFOHDQ 7KHGUXPXQLWPD\EH GHIHFWLYH 5HSODFHWKHGUXPXQLW

%ODFN#YHUWLFDO#VWUHDNV

&RQWDPLQDWHGPDLQFKDUJHU ZLUH &KHFNWKHGUXPVXUIDFHIRUD VWUHDNRIWRQHUOD\LQJ OHQJWKZLVH 'HIHFWLYHGHYHORSHUXQLW 8QVKDUS#SULQWLQJ

&OHDQWKHPDLQFKDUJHUZLUHE\SXOOLQJWKH JUHHQFRORUHGFOHDQLQJNQRELQDQGRXWVHYHUDO WLPHV $VWUHDNRIWRQHUUHPDLQLQJRQGUXPDIWHU SULQWLQJPHDQVWKDWWKHFOHDQLQJEODGHLQWKH GUXPXQLWLVQRWZRUNLQJSURSHUO\5HSODFH WKHFOHDQLQJEODGHRUUHSODFHWKHGUXPXQLW 5HSODFHWKHGHYHORSHUXQLW

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

&KHFNFRQWDPLQDWLRQRQWKH PDLQFKDUJHUZLUHDQGWKH JULG &KHFNSDSHUIRUSURSHUW\ &KHFNWKHSDSHUFKXWH LQVWDOODWLRQ

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

7U\FKDQJLQJWKHWUDQVIHUELDV SRWHQWLDO1RUPDORU7KLFN &KHFNWKHWUDQVIHUUROOHU LQVWDOODWLRQ

&KHFNWKHWUDQIHUELDV SRWHQWLDO &KHFN(FR3ULQWVHWWLQJ

5HIUHVKGUXP

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

*UH\#EDFNJURXQG

&KHFNFRQWDPLQDWLRQRQWKH PDLQFKDUJHUZLUHDQGWKH JULG &KHFNWKHJULGSODWHWKHPHVK PHWDOERWWRPSDUWRIWKH FKDUJHUXQLW &KHFNWKHSULQWGHQVLW\ VHWWLQJ

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

&KHFNWKHVXUIDFHSRWHQWLDORI WKHGUXP

7KHGHYHORSHUXQLWPD\EH GHIHFWLYH

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

'LUW#RQ#WKH#WRS#HGJH#RU#EDFN#RI#WKH#SDSHU

&KHFNWRQHUFRQWDPLQDWLRQLQ YDULRXVSDUWV

'LUW\HGJHVDQGEDFNRIWKHSDSHUFDQEH FDXVHGE\WRQHUDFFXPPXODWHGRQVXFKSDUWV DVWKHSDSHUFKXWHSDSHUWUDQVSRUWDWLRQ SDWKVWKHERWWRPRIWKHGHYHORSHUXQLWDQG WKHIXVHULQOHW&OHDQWKHVHDUHDVDQGSDUWVWR UHPRYHWRQHU ,IWKHWUDQVIHUUROOHULVFRQWDPLQDWHGZLWK WRQHUFOHDQWKHWUDQVIHUUROOHUXVLQJD YDFXXPFOHDQHURUE\FRQWLQXRXVO\SULQWLQJD ORZGHQVLW\SDJHXQWLOWKHV\PSWRPKDVIDGHG DZD\

&KHFNWKHWUDQVIHUUROOHU

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

5(3(7,7,9(#'()(&76#*$8*( 8VHWKHIROORZLQJPHDVXUHPHQWVIRUFKHFNLQJUHSHWLWLYHRFFXUUHQFHVRQWKHSULQWHG SDJH6HHWKHDERYHVHFWLRQIRUGHWDLOV

),567#2&&855(1&(#2)#'()(&7

5(*,675$5,21#52//(56:18PP

'(9(/23,1*#52//(56;13PP 75$16)(5#52//(596PP

'(9(/23(5#38//(<971:PP

'580#81,7 )86(5#35(66#52//(5 )86(5#+($7#52//(5 <713PP

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

&+(&.,1*#&$66(77(#6,=(#6(16256 7KHSULQWHUWHOOVWKHVL]HRISDSHUFDVVHWWHWREHIHGE\PHDQVRIWKUHHVHQVRUVRQ WKH.3ERDUG7KHVHVHQVRUVVZLWFKHVDUHDFWLYDWHGE\WKHSXVKLQJSHJVRQ SDSHUFDVVHWWHVLQGLIIHUHQWSDSHUVL]HV,IWKHVHQVRUVDUHQRWFRUUHFWO\DFWLYDWHGLQD FRUUHFWPDWUL[RIDFWLYDWLRQSDSHUMDPRUSULQWLQJGHIHFWVOLNHDERYHPD\RFFXU

&DVVHWWH#VL]H VHQVRU#SXVKLQJ URGV

3DSHU#VL]H % $ $ /HWWHU /HJDO &DVVHWWHQRW SUHVHQW

6::34 2Q 2II 2Q 2II 2Q 2Q

6::35 2II 2Q 2Q 2II 2II 2Q

6::36 2II 2II 2II 2Q 2Q 2Q

)604:332)606:33#6HULHV

3ULQW#TXDOLW\#SUREOHPV

7URXEOHVKRRWLQJ

'UXP#FOHDQLQJ 7KLVPRGHLVPHDQWWRSURYLGHDPDQXDOPHDQVRIGUXPFOHDQLQJLQDGGLWLRLQWRWKH UHJXODUFOHDQLQJSURFHGXUHPDGHDXWRPDWLFDOO\LQDSKRWRJUDSKLFVF\FOH,QWKLV PRGHWKHGUXPWXUQVIRUWKHSHULRGRIDSSUR[LPDWHO\WKUHHPLQXWHVZLWKQRPDLQ FKDUJLQJGLVSHUVHGRYHUWKHGUXP6LQFHWKHFOHDQLQJEODGHLQWKHGUXPFRQWLQXRXVO\ DWWHPSWWRVFUDSHVRLOVDQGSDSHUGXVWRQLWVVXUIDFHWKHGUXPFDQEHEURXJKWLQD FOHDQVWDWH 7RFOHDQWKHGUXPXVLQJWKLVIHDWXUHSHIRUPWKHIROORZLQJWRSWRERWWRP SUHVV SUHVV SUHVV SUHVV SUHVV SUHVV SUHVV SUHVV 02'( &UHSHDWHGO\XQWLO &UHSHDWHGO\XQWLO WKHGLVSOD\VKRXOGVKRZ &WKHGLVSOD\VKRXOGVKRZ (17(5WKHGLVSOD\VKRXOGVKRZ (17(5 WKHQ Others> WKHQ >Service> >>Developer >>Drum ?

7KHGUXPWKHQVWDUWVWXUQLQJDQGVWRSVDIWHUDSSUR[PLQXWHV7KHSULQWHUUHYHUWVWR5HDG\

)604:332)606:33#6HULHV

&KDSWHU#)LYH#

&

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

*HQHUDO#,QVWUXFWLRQV

'LVDVVHPEO\

*HQHUDO#,QVWUXFWLRQV
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

6FUHZV2KDUGZDUH 6FUHZVDQGKDUGZDUHXVHGLQWKHSULQWHUDUHOLVWHGLQWKHEHJLQQLQJVHFWLRQRIWKH 3DUWVFDWDORJ6\PEROQXPEHUVDOVRJLYHQLQWKHOLVWIRUWKHVHVFUHZVDUHUHIHUUHGWR LQWKHGLVDVVHPEOLQJLQVWUXFWLRQVLQWKHIROORZLQJSDJHV &DXWLRQ#0#7R#VHFXUH#D#VHOI0WDSSLQJ#VFUHZV/#DOLJQ#LW#ZLWK#WKH#WKUHDG#FDUHIXOO\1 )LUVW#WXUQ#LW#FRXQWHUFORFNZLVH/#WKHQ#VORZO\#FORFNZLVH1#'R#QRW#RYHU0WLJKWHQ1#,Q FDVH#WKH#VHOIWDSSHG#WKUHDG#LV#GDPDJHG/#WKH#DIIHFWHG#SDUW#PXVW#EH#UHSODFHG ZLWK#D#QHZ#SDUW1

)604:332)606:33#6HULHV

'LVDVVHPEO\#URDG#PDS

'LVDVVHPEO\

'LVDVVHPEO\#URDG#PDS
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

)604:332)606:33#6HULHV

'LVDVVHPEO\#URDG#PDS

'LVDVVHPEO\

',6$66(0%/<#52$'#0$3

6WDUW

1XPEHUV#UHIHU#WR#WKH#DSSURSULDWH#SDJH#LQ#WKLV#FKDSWHU1

9 'HYHORSHU XQLW

44 0XOWL0 SXUSRVH#WUD\ 45 7UDQVIHU UROOHU

F or clean in g, see page 5-13.

48 'UXP XQLW

4: 0DLQ FKDUJHU

46 5HJLVW1 UROOHU

4; 7RS#VLGH FRYHU

4< /HIW#VLGH GRRU

+L0YROWDJH XQLW

6HQVRU ERDUG

4< 5LJKW#VLGH FRYHU

53 'ULYH#JHDU XQLW

5HOD\ ERDUG

54 )XVHU#XQLW 4< )URQW#FRYHU 5: /DVHU VFDQQHU

5; &RQWUROOHU ER[

5< 0DLQ2(QJLQH2&RQQHFW ERDUGV/#SRZHU#VXSSO\

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

'LVDVVHPEO\
5HPRYLQJ#WKH#GHYHORSHU#XQLW 2SHQWKHWRSFRYHU7KHWRQHUFRQWDLQHUPXVWEHUHPRYHGILUVW3XOOWKHWRQHUFRQ WDLQHUUHOHDVHOHYHUDVEHORZ3XOOWKHWRQHUFRQWDLQHUVORZO\XS7RDYRLGWRQHUDG KHULQJIURPVSLOOLQJNHHSLWDVOHYHODVSRVVLEOH

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

$IWHUUHPRYLQJWKHWRQHUFRQWDLQHUUHPRYHWKHGHYHORSHUVFRQQHFWRUIURPWKH SULQWHU7KHQZKLOHSUHVVLQJWKHGHYHORSHUUHOHDVHOHYHUWRZDUGVWKHIURQWRIWKH SULQWHUUHPRYHWKHGHYHORSHUXQLW

DKHSV

1RWH1# $IWHUUHPRYLQJWKHGHYHORSHUVHDOLWLQWKHSURWHFWLYHEDJDQGSODFHLWRQDIODWVXU IDFH'RQRWSODFHWKHGHYHORSHULQDGXVW\DUHD,I\RXVKLSWKHGHYHORSHUSDFNLWLQ WKHVKLSSLQJFRQWDLQHUVSHFLILFDOO\VXSSOLHGZLWKWKHSULQWHU6HH6KLSSLQJ#WKH#GH0 YHORSHU#XQLWRQSDJH$OVRGRQRWWRXFKWKHGHYHORSLQJUROOHURIWKHGHYHORSHU 'RQRWSODFHIORSS\GLVNVQHDUWKHGHYHORSHU

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

6KLSSLQJ#WKH#GHYHORSHU#XQLW ,IWKHGHYHORSHUXQLWLVVKLSSHGWKHGHYHORSHUPXVWEHVKLSSHGVHSDUDWHO\LIWKH SULQWHULVVKLSSHGLWPXVWEHILWLQWKHVKLSSLQJFRQWDLQHUVXSSOLHGRULJLQDOO\ZLWK WKHSULQWHU )LUVWIODSWKHPDJQHWUROOHUSURWHFWLYHFRYHUGRZQ3XWWKHGHYHORSHUXQLWLQWKH SODVWLFEDJVXSSOLHGZLWKWKHVKLSSLQJFRQWDLQHU3XWWKHGHYHORSHUXQLWLQWRWKH VKLSSLQJFRQWDLQHU

3URWHFWLYH#FRYHU

n
D34635K1HSV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

,QVWDOOLQJ#D#QHZ#GHYHORSHU 8VHWKHIROORZLQJGHYHORSHUNLWIRUUHSODFHPHQW7KLVNLWLVFRPPRQO\XVHGZLWKDOO PRGHOV


.LW 'HYHORSHUXQLW )604:332. '9 )606:332. '9

3URGXFHWKHGHYHORSHUXQLWIURPWKHSURWHFWLYHEDJ

)ODSWKHPDJQHWUROOHUSURWHFWLYHFRYHUXS

,QVWDOOWKHGHYHORSHUXVLQJWKHUHYHUVHPDQQHURIUHPRYLQJWKHGHYHORSHUH[SODLQHG DERYH&RQQHFWWKHGHYHORSHUFRQQHFWRU

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#SDSHU#IHHG#XQLW 7KHSDSHUIHHGXQLWFDQEHUHPRYHGIURPWKHSULQWHUZLWKRXWXVLQJWRROV)LUVW/#EH VXUH#WR#UHPRYH#WKH#SDSHU#FDVVHWWH#HQWLUHO\#RXW2WKHUZLVHWKHSDSHUIHHGXQLW ZLOOQRWFRPHRXW 7RUHPRYHWKHSDSHUIHHGXQLWILUVWUHPRYHWKHSDSHUFDVVHWWHRXW:KLOHKROGLQJDQG SXVKLQJWKHORFNLQJWDEVnDWERWKVLGHVRIWKHSDSHUIHHGXQLWGUDZWKHSDSHUIHHG XQLWDOOWKHZD\RXW


$KHSV

5HPRYLQJ#WKH#PXOWL0SXUSRVH#WUD\ 7RUHPRYHWKHPXOWLSXUSRVHWUD\SXOOWKHSDSHUIHHGXQLWUHOHDVHOHYHUXSDQG GUDZWKHSDSHUIHHGXQLWRXW7KHQSURFHHGDVIROORZV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

Gen t ly fold t he
m ult i-pur pose t r ay down .

+ROGLQJWKHWUD\E\ERWKHQGVSXOOLWXSXQWLOFDWFKHVDUHUHOHDVHG

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#WUDQVIHU#UROOHU %HIRUHUHPRYLQJWKHWUDQVIHUUROOHUUHPRYHWKHSDSHUIHHGXQLWRXWRIWKHSULQWHU

&DXWLRQ#0#'R#QRW#WRXFK#WKH#WUDQVIHU#UROOHU#+VSRQJH,#VXUIDFH1#2LO#DQG#GXVW +SDUWLFOHV#RI#SDSHU/#HWF1,#RQ#WKH#WUDQVIHU#UROOHU#FDQ#VLJQLILFDQWO\#GHWHULRUDWH WKH#SULQW#TXDOLW\#+ZKLWH#VSRWV/#HWF1,1

5HPRYHWKHWUDQVIHUUROOHUFRYHU)DFLQJIURQWWKHSDSHUIHHGXQLWPRYHLWWROHIW 8VLQJDVPDOOIODWEODGHVFUHZSXOOWKHOHIWHQGRIWKHFRYHU 7KHWUDQVIHUUROOHUoLVKHOGLQSODFHE\WZRD[OHKROGHUVWKDWKROGWKHUROOHUD[OHDW ERWKHQGV+ROGDQGSXOOWKHJHDUpDWWKHULJKWHQGRIWKHUROOHUXSWKHQUHPRYHWKH OHIWHQG

a01132h. eps

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

&/($1,1*#7+(#75$16)(5#52//(5

7RFOHDQWKHWUDQVIHUUROOHUKROGLWE\LWVJHDUVRWKDWWKHUROOHUKDQJVGRZQKRUL]RQ WDOO\8VHDYDFXXPFOHDQHUPRYLQJQR]]OHDORQJWKHUROOHUEXW#GR#QRW#OHW#WKH QR]]OH#GLUHFWO\#WRXFK#RQ#WKH#UROOHU7KRURXJKO\FOHDQWKHHQWLUHVXUIDFHRIWKH UROOHU

5(3/$&,1*#7+(#75$16)(5#52//(5

&DUHIXOO\FOHDQWKHOHIWVLGHIDFLQJWKHIURQWRIWKHSDSHUIHHGXQLWD[OHHQGEHIRUH UHSODFLQJWKHWUDQVIHUUROOHU7KLVHQGRIWKHD[OHLVGLUHFWO\DSSOLHGZLWKWKHKLJK YROWDJHWUDQVIHUELDV

5HPRYLQJ#WKH#UHJLVWUDWLRQ#UROOHUV %HIRUHUHPRYLQJWKHUHJLVWUDWLRQUROOHUVUHPRYHWKHSDSHUIHHGXQLWRXWRIWKH SULQWHU6HH5HPRYLQJ#WKH#SDSHU#IHHG#XQLWRQSDJH 5HPRYHWKHUHJLVWUDWLRQUROOHUVFRYHU7KHFRYHULVORFNHGE\WZRFDWFKHVWKDWORFN LWRQWRWKHSDSHUIHHGXQLW7KHVHFDWFKHVFDQEHDFFHVVHGWKURXJKWKHKROHVoRQWKH FRYHU,QVHUWDVFUHZGULYHUDVVKRZQEHORZDQGUHOHDVHWKHORFNV

o o

DKHSV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYHWKHFRLOVSULQJVpWKDWDUHXVHGWRVHFXUHDQGSUHVVWKHWRSPHWDOUHJLVWUD WLRQUROOHUqWRZDUGVWKHERWWRPUXEEHUUHJLVWUDWLRQUROOHUXQGHUQHDWK

3URWHFW#\RXU#H\HV#ZLWK#JRJJOHV1

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#GUXP#XQLW &DXWLRQ#0#%HIRUH#UHPRYLQJ#WKH#GUXP#XQLW#/#EH#VXUH#WR#UHPRYH#WKH#GHYHORSHU XQLW##DQG#GUDZ#RXW#WKH#SDSHU#IHHG#XQLW##KDOI#ZD\1#'R#QRW#DWWHPSW#WR IRUFLEO\#SXOO#RXW#WKH#GUXP#ZLWKRXW#ILUVW#KDYLQJ#GRQH#DOO#RI#WKHVH#SURFHGXUHV1

5HPRYHWKHGHYHORSHU6HH
5HPRYLQJ#WKH#GHYHORSHU#XQLWRQ SDJH

3XOOWKHSDSHUIHHG
XQLWKDOIZD\RXW

5HPRYHWKLVVFUHZDQGGUDZRXW
WKHGUXPXQLWFDUHIXOO\

&DXWLRQ#0#6WRUH#WKH#GUXP#XQLW#LQ#D#FOHDU/#FOHDQ#SODFH/#QRW#H[SRVHG#WR#D#VWURQJ OLJKW#VRXUFH1#6HDO#LW#LQ#D#SURWHFWLYH#EDJ1#$YRLG#EXPS#WKH#GUXP#VXUIDFH#RQWR KDUG#REMHFWV1

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HSODFLQJ#WKH#GUXP#XQLW 7RUHSODFHWKHGUXPXQLWLQWRWKHSULQWHUEHVXUHWRDOLJQWKHJXLGHVDQGUDLOVRQWKH GUXPXQLWZLWKHDFKRWKHU'RQRWIRUFHWRVOLGHWKHGUXPXQLWLQXQOHVVWKH\DUH SURSHUO\DOLJQHGZLWKHDFKRWKHU

*XLGHRQWKH SULQWHU +ROGLQJUDLOVRQ WKHGUXPXQLW +ROGLQJUDLOVRQ WKHSULQWHU

*XLGHRQWKH GUXPXQLW

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

0DLQ#FKDUJHU#XQLW 3XOOWKHPDLQFKDUJHUXQWLOLWVWRSV:KLOHSXVKLQJWKHZKLWHORFNLQJSHJLQ ZDUGVWKHSULQWHUSXOOWKHPDLQFKDUJHUXQLWDOOWKHZD\RXW 7KHPDLQFKDUJHUXQLWLVWHFKQLFDOO\H[SODLQHGLQFKDSWHU2SHUDWLRQ

PDLOHSV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

7RS#VLGH#FRYHU 2SHQWKHWRQHUFRQWDLQHUDFFHVVGRRU5HPRYHWZRVFUHZV:KLOHKROGLQJWKH VSULQJORDGHGEDFNVLGHFRYHUWRRSHQSXOOWKHEDFNSODQHRIWKHWRSFRYHUDZD\ IURPWKHSULQWHUWKHQSXOOLWXSZDUGVWRUHPRYH

H old h er e backwar ds t h en u pwar ds.

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#FRYHUV 7KHOHIWDQGULJKWVLGHFRYHUVDUHVQDSSHGRQWRWKHFKDVVLVE\FDWFKHVDQGKROHV1R VFUHZVDUHXVHG7RUHPRYHWKHOHIWDQGULJKWVLGHFRYHUVUHOHDVHWKRVHFDWFKHVDQG KROHVDWWKHIURQWDQGWKHUHDUIURPHDFKRWKHUE\LQVHUWLQJDVPDOOIODWEODGH VFUHZGULYHUEHWZHHQWKHFRYHUDQGWKHFKDVVLV7KHQIUHHWKHFDWFKHVDWWKHERWWRP E\ORZHULQJWKHWRSVLGHRIWKHFRYHUGRZQZDUGV

86PRGHOVRQO\

)URQW#SDQHO6HH H[SODQDWLRQEHORZ

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#IURQW#SDQHO 6HHWKHSLFWXUHDERYH5HPRYHWZRVFUHZVWKDWVHFXUHWKHIURQWSDQHOWRWKHFKDV VLV5HPRYHWKHJURXQGZLUHIURPWKHFKDVVLVIURQW5HPRYHWKHRWKHUJURXQGZLUH 8QSOXJWKHFRQQHFWRU5HOHDVHFDWFKHVuLQIRXUSDUWV5HPRYHWKHIURQWSDQHO

5HPRYLQJ#WKH#GULYH#JHDUV#DVVHPEO\ 7KHULJKWVLGHFRYHUPXVWEHUHPRYHGILUVW5HPRYHILYHVFUHZV'HWDFKWZRFRQQHFWRUV 7KHQUHPRYHWKHGULYHDVVHPEO\IURPWKHSULQWHU

*URXQGZLUH IURPWKHIURQW SDQHO

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#IXVHU#XQLW %HIRUHUHPRYLQJWKHIXVHUXQLWUHPRYHWKHFRYHUVILUVW5HIHUWR5HPRYLQJ#FRYHUV/ SDJH

:DUQLQJ#0#7KH#IXVHU#LV#KRW#DIWHU#WKH#SULQWHU#ZDV#UXQQLQJ1#:DLW#XQWLO#LW#FRROV GRZQ1

'LVFRQQHFWSOXJVILUVW7RUHPRYHWKHIXVHUXQLWUHPRYHWZRVFUHZVDWWKHEDFN

)XVHU#XQLW

DKHSV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#KHDWHU#ODPS :DUQLQJ#0#7KH#KHDWHU#LV#H[WUHPHO\#KRW#LPPHGLDWHO\#DIWHU#WKH#SULQWHU#ZDV#UXQ0 QLQJ1#$OORZ#VXEVWDQWLDO#SHULRG#RI#WLPH#XQWLO#LW#FRROV#GRZQ1#$OVR/#WKH#KHDWHU#LV IUDJLOH=#+DQGOH#LW#ZLWK#JUHDW#FDUH1

7RUHPRYHWKHKHDWHUODPSUHPRYHWZRVFUHZVRQWKHFRYHUDWWKHULJKWVLGHRIWKH IXVHUXQLW5HPRYHWKHFRYHU6OLJKWO\SXOOLQJWKHWHUPLQDORXWZDUGnVRWKDWLWEHQGV WRIUHHWKHKHDWHUKHDGoGUDZWKHKHDWHUODPSRXW 1RWH1# 'RQRWGLUHFWO\WRXFKRQWKHKHDWHUODPS)LQJHUSULQWVRQWKHKHDWHUVRXWHUVXUIDFH FDQSUHYHQWSURSHUIXVLQJRIWRQHURQSDSHU$GPHSV

n o

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HSODFLQJ#WKH#IXVHU#UROOHUV

5HPRYHIRXUVFUHZVRQWKHWRSFDVH8VHFDUHQRWWROHWWKHWRSKHDWUROOHUIDOO ZKHQOLIWLQJWKHWRSFDVH

#&4

#&4

DGDHSV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

7RJDLQDFFHVVWRWKHKHDWPHWDOUROOHUWKHUROOHUUHWDLQLQJSODWHqPXVWEHUH PRYHG7RUHPRYHWKHUHWDLQLQJSODWHXVHDVPDOOIODWEODGHVFUHZGULYHULQVHUWLQJLW LQWRWKHJDSVDVVKRZQLQWKHILJXUHEHORZ

&DXWLRQ#0#6SHFLDO#FDUH#VKRXOG#EH#WDNHQ#QRW#WR#OHW#WKH#VFUHZGULYHU#JR#WRR#IDU LQWR#WKH#KROH1#6XFK#DQ#DFWLRQ#FDQ#LUUHYRFDEO\#GDPDJH#WKH#UROOHU#VXUIDFH1

q p

DKHSV

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#WKHPRVWDW#DQG#WKHUPDO#FXWRII

7KHUPDO#FXWRII

DGDGPGVI

7KHUPRVWDW

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HSODFLQJ#WKH#KHDW#UROOHU 7RUHSODFHWKHKHDWUROOHUDOLJQWKHSURWUXVLRQVrRQERWKFROODUVVRWKDWWKH\IDFH WKHSDSHULQSXWVLGHWKHGUXPXQLWVLGH>KRUL]RQWDOO\@ 7KHQLQVHUWWKHKHDWUROOHUUHWDLQHUqEDFNLQSODFH

$OLJQWKHSURWUXVLRQLQDKRUL]RQWDODQJOH

+HDW#UROOHU#UHWDLQHU

+HDW#UROOHU

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#ODVHU#VFDQQHU 7RUHPRYHWKHODVHUVFDQQHUWKHWRSFRYHUPXVWEHUHPRYHGILUVW)RUGHWDLOVRQUH PRYLQJWKHWRSFRYHUUHIHUWR5HPRYLQJ#FRYHUV#RQSDJH

:DUQLQJ#0#7KH#ODVHU#VFDQQHU#FRQWDLQV#HOHFWURVWDWLF0VHQVLWLYH#SDUWV#LQVLGH#+ODVHU GLRGH/#HWF1,1#%HIRUH#WRXFKLQJ#WKH#ODVHU#VFDQQHU/#SURYLGH#DQ#DQWLVWDWLF +GLVFKDUJLQJ,#GHYLFH/#VXFK#DV#D#ZULVW#VWUDS/#WKDW#FDQ#HIIHFWLYHO\#GLVFKDUJH \RXU#ERG\1

7RUHPRYHWKHODVHUVFDQQHUUHPRYHDFRQQHFWRU5HPRYHWKUHHVFUHZV$IWHU UHPRYLQJ#WKH#VFDQQHU/#KDQGOH#LW#FDUHIXOO\1 $4 $4

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#FRQWUROOHU#ER[ %HIRUHUHPRYLQJWKHFRQWUROOHUER[WKHIROORZLQJSDUWVPXVWEHUHPRYHGLQWKHRUGHU LQGLFDWHG)RUGHWDLOVRQUHPRYLQJWKHVHSDUWVUHIHUWRWKHSDJHHQFORVHGE\EUDFN HWV 'HYHORSHU3DJH 'UXPXQLW3DJH 7RSVLGHFRYHU3DJH /HIWVLGHFRYHU3DJH 5LJKWVLGHFRYHU3DJH )URQWSDQHO3DJH 5HPRYHWKHFRQQHFWRUVWKHQUHPRYHWKHVFUHZVDVVKRZQLQWKHGLDJUDPEHORZ

DKHS

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

5HPRYLQJ#WKH#HQJLQH#ERDUG ,QSULRUWRUHPRYLQJWKHHQJLQHERDUGUHPRYHWKHIROORZLQJSDUWV)RUGHWDLOVRQUH PRYLQJWKHVHSDUWVUHIHUWRWKHSDJHHQFORVHGE\EUDFNHWV 7RSFRYHU3DJH 5LJKWVLGHFRYHU3DJH 0HPRU\FDUG>LILQVHUWHGLQWKHVORW@ 0DLQFRQWUROOHUERDUG>5HPRYHWKUHHVFUHZVVHFXULQJWKHERDUGWRWKHUHDU SDQHO@ 7RUHPRYHWKHHQJLQHERDUGUHPRYHWZRFRQQHFWRUVWKHQUHPRYHDVFUHZ'43 'UDZRXWWKHHQJLQHERDUGVORZO\DORQJWKHUDLOV

'43

8VHWKHUHYHUVHSURFHGXUHWRUHSODFHWKHHQJLQHERDUGEDFNLQWKHSULQWHU

)604:332)606:33#6HULHV

'LVDVVHPEO\

'LVDVVHPEO\

)604:332)606:33#6HULHV

&KDSWHU#)RXU#

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

'HEXJJLQJ#RXWSXWV#7088 (QJLQH#LQWHUIDFH#7088 (QJLQH#LQWHUIDFH#FRQQHFWRU#DVVLJQPHQW#7089 6LJQDOV#XVHG#IRU#WKH#HQJLQH#LQWHUIDFH#708: (QJLQH#LQWHUIDFH#VLJQDOV#708;

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

(OHFWURSKRWRJUDSKLFV#V\VWHP
(OHFWURSKRWRJUDSK\LVWKHWHFKQRORJ\XVHGLQODVHUSULQWLQJZKLFKWUDQVIHUVGDWDUHS UHVHQWLQJWH[WVRUJUDSKLFVREMHFWVLQWRDYLVLEOHLPDJHZKLFKLVGHYHORSHGRQWKHSKR WRVHQVLWLYHGUXPILQDOO\IXVLQJRQSDSHUXVLQJOLJKWEHDPJHQHUDWHGE\DODVHUGL RGH 7KHNH\IHDWXUHVIRUWKHHOHFWURSKRWRJUDSK\V\VWHPXVHGLQWKHSULQWHUDUH # GSLUHVROXWLRQ # 1HZO\GHYHORSHGDPRUSKRXVVLOLFRQGUXPZLWKQRKHDWLQJGHYLFH # 'LRGHODVHUVFDQQLQJ # 0RQRFRPSRQHQWWRQHU 7KHHOHFWURSKRWRJUDSK\V\VWHPRIWKHSULQWHUSHUIRUPVDF\FOLFDFWLRQPDGHRIVHYHQ VWHSVDVVKRZQEHORZ

5#([SRVXUH 4#0DLQ#&KDUJLQJ :#(UDVLQJ 9#&OHDQLQJ 7#7UDQVIHU 6#'HYHORSLQJ

8#)XVLQJ

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

$PRUSKRXV0VLOLFRQ#GUXP 7KHSULQWHUXVHVWKHORQJODVWLQJDPRUSKRXVVLOLFRQGUXP7KHGUXPVXUIDFHLVD FRPSRVLWHRIILYHVXEVWDQFHVFRDWHGLQILYHOD\HUVDVVKRZQEHORZ

% &

' (
$ 6HFRQGDU\SURWHFWLRQOD\HU %3ULPDU\SURWHFWLRQOD\HUP &3KRWRFRQGXFWRU6L '&DUULHUEORFNP ( $OXPLQXPEDVH 'UXP#XQLW

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

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

&KDUJLQJ#WKH#GUXP )LJXUHEHORZLVDVLPSOLILHGGLDJUDPRIWKHHOHFWURSKRWRJUDSKLFVFRPSRQHQWV &KDUJLQJWKHGUXPLVGRQHE\WKHPDLQFKDUJHUZLUHLQWKHPDLQFKDUJHUXQLW PDUNHG$LQWKHGLDJUDP

$ %

$VWKHGUXP%URWDWHVLQDFOHDQQHXWUDOVWDWHLWVSKRWRFRQGXFWLYHOD\HULVJLYHQ DXQLIRUPSRVLWLYHHOHFWULFDOFKDUJHGLVSHUVHGE\WKHPDLQFKDUJHUZLUH$ 'XHWRKLJKYROWDJHVFRURWURQFKDUJLQJWKHFKDUJLQJZLUHFDQJHWFRQWDPLQDWHGE\ R[LGL]DWLRQDQGWKHUHIRUHPXVWEHFOHDQHGSHULRGLFDOO\IURPWLPHWRWLPHXVLQJWKH PHWKRGH[SODLQHGLQVHFWLRQ0DLQ#FKDUJHU#XQLWRQSDJH&OHDQLQJWKHFKDUJLQJ ZLUHSUHYHQWVSULQWTXDOLW\SUREOHPVVXFKDVEODFNVWUHDNVFDXVHGE\WKHR[LGHDF FXPXODWHGDURXQGWKHFKDUJLQJZLUH

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

7RQHU 7KHWRQHULVIHGIURPWKHWRQHUSDFN7.+7KHWRQHULVFRPSULVHGRIWKHIROORZLQJ VXEVWDQFHVDVGHSLFWHGEHORZ


6LQJOH#FRPSRQHQW#WRQHU#7.0532+

$#0#5HVLQ %#0#)HUULWH &#0#6LOLFD '#0#3ROLVKHU

$ % ' &

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

([SRVXUH 7KHFKDUJHGVXUIDFHRIWKHGUXP%LVWKHQVFDQQHGE\WKHODVHUEHDPIURPWKH VFDQQHUXQLW$

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

7KHODVHUEHDPLVVZLWFKHGRQIRUDEODFNGRWDQGRIIIRUDZKLWHEODQNGRWDFFRUGLQJ WRWKHSULQWGDWD:KHQHYHULWLVLOOXPLQDWHGE\WKHODVHUEHDPWKHHOHFWULFDOUHVLV WDQFHRIWKHSKRWRFRQGXFWRULVUHGXFHGWKHSRWHQWLDORQWKHSKRWRFRQGXFWRULVDOVR ORZHUHGWR9HIIHFWLYHO\GULYLQJWKHFKDUJHWKURXJKWKHD6LOD\HUGRZQWRWKH DOXPLQXPEDVH

/$6(5#%($0

.....

....

)604:3326:33= 573905939 3OXV0VHULHV= 56305839

/$6(5#%($0

D06L#/$<(5

$/80,180

.... 0 0 0 0

539 #39

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

6FDQQHU#XQLW 7KHGSLVFDQQHUXQLWLQFOXGHVWKHGLRGHODVHUWKDWSURGXFHVWKHQPZDYH OHQJWKODVHUEHDP7KLVZDYHOHQJWKLVVSHFLILFDOO\GHVLJQHGWRPDWFKWKHSKRWRFRQ GXFWLYHUHVSRQVHRIDPRUSKRXVVLOLFRQ

t u
7R#GUXP

s w r v p o n

DKHSV

7KHLOOXVWUDWLRQVKRZVWKHODVHUVFDQQHUIRUPRGHO)6

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

n /DVHU#GLRGH#0 #HPLWVGLIIXVHGYLVLEOHODVHU o &ROOLPHWHU#OHQV#0 #DOLJQVWKHODVHUEHDPWRWKHF\OLQGULFDOOHQV p&\OLQGULFDO#OHQV#0 #FRPSHQVDWHVWKHVODQWDQJOHDWZKLFKWKHODVHUEHDPKLWVDSRO\JRQPLUURUVHJPHQW q 3RO\JRQ#PLUURU#+PRWRU,#0 #KDVVL[PLUURUVHJPHQWVDURXQGLWVRFWDJRQDOFLUFXPIHUHQFHHDFKPLUURU


FRUUHVSRQGLQJWRRQHVFDQQHGOLQHZLGWKRQWKHGUXPZKHQODVHUEHDPVFDQVRQLW

r 3ULPDU\#I0WKHWD#OHQV#0 #6HHEHORZ s 6HFRQGDU\#I0WKHWD#OHQV#0 #7KHSULPDU\DERYHDQGVHFRQGDU\IWKHWDOHQVHVHTXDOL]HIRFXVLQJGLVWRUWLRQ


RQWKHGUXPHGJHV7KHHIIHFWLYHOHQJWKRIOLQH$%EHORZWKHODVHUEHDPGUDZVRQWKHGUXPEH FRPHVORQJHUDVWKHODVHUEHDPKLWVFORVHUWRWKHGUXPHGJHV,QWKHILJXUHEHORZGLVWDQFHVUHSUHVHQWHG E\$DQG%DUHQRWWKHVDPH$!%XQWLOWKHIWKHWDOHQVHVDUHSURYLGHGEHWZHHQWKHSRO\JRQPLUURU DQGWKHGUXP$ %

t 'LYHUVLRQ#PLUURU#0 GLYHUWVWKHODVHUEHDPYHUWLFDOO\RQWRWKHGUXP1RWHWKHGLIIXVHGODVHUEHDPILQDOO\
SLQSRLQWVRQWKHGUXP

u 3URWHFWLYH#JODVV#0 SUHYHQWVGXVWGHEULVHWFIURPHQWHULQJWKHVFDQQHUDVVHPEO\ v 6HQVRU#PLUURU#0 EHQGVWKHYHU\ILUVWVKRWRIDODVHUVFDQWRZDUGVWKHEHDPGHWHFWLRQVHQVRU6HHQH[W w %HDP#GHWHFWRU#VHQVRU#0# ZKHQVKRQHE\WKHVHQVRUPLUURUDERYHWKLVSKRWRVHQVRUJHQHUDWHVDWULJJHU


VLJQDOIRUWKHHQJLQHFRQWUROOHUWRVWDUWDFWLYDWLQJWKHSDSHUIHHGLQJV\VWHP

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

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

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

'HYHORSPHQW 7KHODWHQWLPDJHFRQVWLWXWHGRQWKHGUXPLVGHYHORSHGLQWRDYLVLEOHLPDJH7KHGH YHORSLQJUROOHUFRQWDLQVDSROH616PDJQHWFRUHDQGDQDOXPLQXPF\OLQGHUUR WDWLQJDURXQGWKHPDJQHWFRUH7RQHUDWWUDFWVWRWKHGHYHORSLQJUROOHUVLQFHLWLVSRZ GHU\LQNPDGHRIEODFNUHVLQERXQGWRLURQSDUWLFOHV$PDJQHWL]HGEODGHSRVLWLRQHG DSSUR[LPDWHO\PPDERYHWKHGHYHORSLQJUROOHUFRQVWLWXWHVDVPRRWKOD\HURIWRQHU LQDFFRUGDQFHZLWKWKHUROOHUUHYROXWLRQ


%ODGH 1 0DJQHW 6

0DJQHWLVP 314PP

3160317PP

6
'UXP

6
'HYHORSLQJ#UROOHU

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

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

%ODGH 'HYHORS1#UROOHU 'UXP 7RQHU#VHQVRU 7RQHU

$&.'&

7RQHU

'UXP

'HYHORS1#UROOHU

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

$GMXVWHG#WR#SUHYHQW#JUH\#EDFNJURXQG 6XUIDFH SRWHQWLDO# 5739

'HYHORSLQJ#UROOHU#ELDV

)604:3326:33= 4;39#'&.$& 3OXV0VHULHV= 4939#'&.41;N9#$& +I 517#N+],

'HYHORSLQJ 'HYHORSLQJ
539

$WRQHUUHSOHQLVKPHQWVHQVRULVSURYLGHGZLWKLQWKHGHYHORSHU$VWKHWRQHUVXSSO\ IURPWKHWRQHUFRQWDLQHUGZLQGOHVDQGWKHWRQHUOHYHOORZHUVLQWKHUHVHUYRLUWKH VHQVRUWUDQVODWHVLWWKURXJKLWVGLDSKUDJPXUJLQJWKHWRQHUPRWRUWRIHHGPRUH WRQHU

'LDSKUDJP 7RQHU#VHQVRU

6HQVDEOH OHYHO

7RQHU 'HYHORSHU#XQLW

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

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

.
%

7KHQRPLQDOWUDQVIHUELDVLVVHWWRDSSUR[LPDWHO\N9OLPLWZLWKWKHFXUUHQWRI $6LQFHWKLFNHUSDSHUWRJPVXFKDVSRVWFDUGV2+3HQYHORSHVHWF WHQGWRUHTXLUHPRUHELDVSRWHQWLDOIRUWKHVDWLVIDFWRU\WUDQVIHUULQJSURFHVVWKH WUDQVIHUELDVLVXVHUVZLWFKDEOHWRN9OLPLWE\XVLQJWKHSULQWHUVRSHUDWRU SDQHO'RXEOHVLGHGSULQWLQJXVLQJD'8GXSOH[HUDXWRPDWLFDOO\LQFUHDVHVWKH WUDQVIHUELDVWRWKHDERYHYDOXH

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

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

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

'UXP#FOHDQLQJ#DQG#HUDVLQJ#VWDWLF#FKDUJH 7KHGUXPQHHGVWREHSK\VLFDOO\FOHDQHGRIWRQHUUHPDLQLQJRQLWVVXUIDFHLQWKHSUH YLRXVURWDWLRQ7KHFOHDQLQJEODGH$EHORZLVFRQVWDQWO\SUHVVHGDJDLQVWWKHGUXP DQGVFUDSHVWKHUHVLGXDOWRQHURQWKHGUXPRIIWRWKHUHIUHVKHUUROOHU%EHORZ7KH UHIUHVKHUUROOHUGULYHVWKHWRQHUWRWKHVSLUDOILQVUROOHU&EHORZDWRQHHQGRI ZKLFKWKHZDVWHWRQHUERWWOHLVFRQQHFWHGWRFROOHFWWKHZDVWHWRQHU

' $

&

$IWHUWKHGUXPLVSK\VLFDOO\FOHDQHGLWWKHQPXVWEHFOHDQHGWRDQHOHFWULFDOO\QHX WUDOVWDWH7KLVLVQHFHVVDU\WRHUDVHDQ\UHVLGXDOSRVLWLYHFKDUJHVUHDG\WRDFFHSWWKH QH[WXQLIRUPFKDUJH7KHUHVLGXDOFKDUJHLVFDQFHOHGE\H[SRVLQJWKHGUXPWRWKH OLJKWHPLWWHGIURPWKHHUDVHU/(''DERYHLQWKHVLPLODUPDQQHUDVGHVFULEHGLQ SDJH7KLVORZHUVWKHHOHFWULFDOFRQGXFWLYLW\RIWKHGUXPVXUIDFHPDNLQJWKHUH VLGXDOFKDUJHRQWKHGUXPVXUIDFHHVFDSHWRWKHJURXQG

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

7\SLFDO#SKRWR#SURFHVV#WLPLQJ#FKDUW 7KHIROORZLQJFKDUWVKRZVWKHVLJQDOVXVHGIRUSKRWRSURFHVVLQJ7KHVHVLJQDOVDFWL YDWHWKHFRUUHVSRQGLQJGHYLFHLQWKHIROORZLQJWLPLQJVHTXHQFHV$VLPSOHGHVFULSWLRQ IRUWKHVHVLJQDOVIROORZ

3DJH#4 02725 3$3(5

3DJH#5

0+9'5 (5$6(5 %,$6 7+9'5=


6:332.

&

'

4:332.

0+9'5#+0DLQ#+LJK#9ROWDJH#'5LYH,#0GULYHVPDLQFKDUJHUZLWKKLJKYROWDJHELDV7KLV VLJQDOLVNHSWRQGXULQJWKHMRELVSURFHVVHG (5$6(5WXUQVRQWKHHUDVHU/('DUUD\DVVRRQDVWKHPRWRUEHJLQVUHYROYLQJ$

DERYH

%,$6#0WXUQVRQWKHGHYHORSHUELDVRQWKHPDJQHWUROOHU7KHGXUDWLRQRIWKLVVLJQDOLV

GHSHQGHQWRQWKHFXUUHQWSDSHUVL]H%DQGWXUQVRIIEHWZHHQSDJHV&

7+9'5#+7UDQVIHU#+LJK#9ROWDJH#'ULYH,#0WXUQVRQWKHWUDQVIHUELDV1RWHWKDWWKHWUDQVIHU

ELDVLVUHYHUVH9DWWKHEHJLQQLQJRIDSULQWMRE'XQWLOWKHSDSHULVDFWXDOO\ IHGRQWRWKHWUDQVIHUUROOHU7KLVSUHYHQWVFRQWDPLQDWLRQRQWKHEDFNVLGHRISDSHUE\

)604:332)606:33#6HULHV

(OHFWURSKRWRJUDSKLFV#V\VWHP

2SHUDWLRQ#RYHUYLHZ

HIIHFWLYHO\UHSHOOLQJWKHWRQHUGXULQJWKHSDSHULVQRWSUHVHQWEHWZHHQWKHGUXPDQG WKHWUDQVIHUUROOHU7KHWUDQVIHUELDVLVNHSWRQGXULQJDSULQWMRE(

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3DSHU#IHHGLQJ#V\VWHP
7KHSDSHUIHHGLQJV\VWHPSLFNVXSSDSHUIURPWKHSDSHUFDVVHWWHRUWKHPDQXDO IHHGLQJWUD\DQGDWDSUHFLVHWLPLQJIHHGVLWWRWKHHOHFWURSKRWRJUDSK\V\VWHPIRUGH YHORSLQJLPDJHRQWKHSDSHU,WILQDOO\GHOLYHUVWKHSULQWHGSDJHWRHLWKHUWKHIDFH GRZQRUIDFHXSWUD\ 7KHILJXUHEHORZVKRZVWKHSDSHUIHHGLQJSDWKZLWKLQWKHSULQWHU

u q r n p o v

t s

A01123.eps

n3DSHU#+FDVVHWWH,1#o3DSHU#IHHG#UROOHU.FOXWFK.VHQVRU1#p5HJLVWUDWLRQ#UROOHUV.FOXWFK.VHQVRU1#q'UXP1 r7UDQVIHU#UROOHU1#s)XVHU#UROOHUV1#t([LW#UROOHUV.VHQVRU1u)DFH0GRZQ#RXWSXW#WUD\.VHQVRU#+)606:332.#RQO\,1 v0DQXDO#IHHG#UROOHU.FOXWFK.VHQVRU1

)ROORZLQJRQWKHQH[WSDJHLVDQRWKHUGLDJUDPVKRZLQJORFDWLRQVRIVHQVRUVUROOHU DQGVROHQRLGVDUUDQJHGDORQJZLWKWKLVSDSHUSDWK

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

(QJLQH#&RQWUROOHU
0 270 5(*&/-$0 3 0 )((')'&/4)'&/50 DQXDO IHHG FOXWFK ([LW VHQVRU +HDW#5ROOHU ([LW#UROOHUV 3UHVVXUH#5ROOHU 7UDQVIHU#UROOHU 5HJLVW#UROOHUV )HHG FOXWFK 3DSHU VHQVRU 3DSHU#&DVVHWWH 'UXP 5HJLVW1 FOXWFK 5HJLVW VHQVRU 0 DQXDO IHHG VHQVRU -$0 5 -$0 3

)DFH0GRZQ#UROOHUV

0DLQ#PRWRU

&OXWFKHV

6HQVRUV

5ROOHUV

3$353$7+1&'5

3DSHU#IHHG#FRPSRQHQWV2VLJQDOV

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

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

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

0DQXDO2PXOWL#SXUSRVH#WUD\#IHHGLQJ 7KHSULQWHUUHFRJQL]HVWKHH[LVWHQFHRISDSHURQWKHPDQXDOIHHGRUPXOWLSXUSRVH WUD\ZKHQWKHPDQXDOIHHGVHQVRULVSXVKHGXS+$1'6 ,QPDQXDOSDSHUIHHGPRGHWKHSDSHUSODFHGRQWKHPDQXDOIHHGLQJWUD\RUPXOWL SXUSRVHWUD\LVGUDZQLQZKHQWKHPDQXDOIHHGFOXWFKLVHQHUJL]HGE\WKH)'&/VLJ QDOWRGULYHWKHPDQXDOIHHGUROOHU 7KHVXEVHTXHQWSULQWSURFHVVLVLGHQWLFDOWRWKHDERYHVHFWLRQ

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3DSHU#MDP#VHQVLQJ 7KHUHJLVWUDWLRQVHQVRUDQGWKHH[LWIXVHUVHQVRUNHHSWUDFNRIWKHSDSHUVHQW WKURXJKWKHSULQWHUVSDSHUSDWKE\ZDWFKLQJWKHWLPHRISHULRGGXULQJZKLFKHLWKHU VHQVRULVNHSWDFWLYDWHG 5HJLVWUDWLRQ#VHQVRU#0$SKRWRUHIOHFWRUVHQVRULVXVHG:KLOHWKHSDSHULVQRWSUHVHQW WKHUHIOHFWRUVKLQ\PLUURUVXUIDFHDWWKHHQGRIWKHDFWXDWRULVLQWKHSRVLWLRQ WKDWFDQUHIOHFWWKHOLJKWWRVKLQHWKHUHFHSWRU$VWKHWRSHGJHRIWKHSDSHUUHDFKHV WKHUHJLVWUDWLRQVHQVRUWKHUHIOHFWRULVSXVKHGXSDQGWKHOLJKWLVLQWHUUXSWHG WULJJHULQJWKHVHQVRU

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

([LW#VHQVRU#07KLVLVDSKRWRSHQHWUDWLRQVHQVRUFRPELQHGZLWKDQDFWXDWRUDUPH[ WHQGLQJWRWKHIXVHUERDUG7KHDFWXDWRULVLQWKHZD\EDFNDWWKHIXVHURXWOHW7KHUH IOHFWRUDWRQHHQGRIWKHDFWXDWRULVQRUPDOO\VHDWHGLQEHWZHHQWKHSKRWRWUDQVPLWWHU DQGVHQVRU,WLVGUHVVHGDZD\RXWRIWKHPZKHQWKHSDSHULQWKHIXVHUVHQVRU SXVKHGXSWKHDFWXDWRUDOORZLQJWKHOLJKWWRKLWWKHUHFHSWRUDQGWXUQLQJWKH VHQVRUFLUFXLWRQ

2QGHWHFWLQJDSDSHUMDPWKHHQJLQHFRQWUROOHUVWRSVSULQWLQJDFWLRQDQGVKRZVWKH 3DSHUMDPPHVVDJH$IWHUUHPRYLQJSDSHUMDPWKHSULQWHUUHVXPHVSULQWLQJZKHQ HLWKHUWKHWRQHUDFFHVVGRRURUWKHIHHGDVVHPEO\LVRQFHRSHQHGDQGFORVHG,ISDSHU MDPPHGSDVWWKHH[LWVHQVRUWKHSULQWHUZLOOQRWDWWHPSWWRSULQWWKHVDPHSDJH 3DSHUFRPLQJIURPWKHSDSHUFDVVHWWHVKRXOGSDVVWKHUHJLVWUDWLRQVHQVRULQDSUHGH WHUPLQHGSHULRGRIWLPHWKDWEHJLQVZLWKWKHIHHGFOXWFKWXUQHGRQ)'&/

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

%DVLF#HQJLQH#IXQFWLRQV
7KLVVHFWLRQSUHVHQWVDJHQHUDOIXQFWLRQDORYHUYLHZRIWKHHQJLQHV\VWHPRIWKH SULQWHU,WZDVLQWHQGHGWRSURYLGHDFRPSUHKHQVLYHNQRZOHGJHRQEDVLFIXQFWLRQV WKDWWKHHQJLQHV\VWHPSHUIRUPVGXULQJSULQWLQJ7KHIROORZLQJSULQWHUIXQFWLRQVDUH FRYHUHG # (QJLQHFRQWUROOHUV\VWHP # 0DLQORJLFFRQWUROOHUV\VWHP # 3DSHUIHHGV\VWHP # 3RZHUV\VWHP

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

%DVLF#VHTXHQFH#RI#RSHUDWLRQ 7KHIROORZLQJILJXUHLVDVLPSOLILHGEORFNGLDJUDPRIWKHSULQWHUHQJLQHV\VWHP

%$6,&#(1*,1(#6<67(0#',$*5$0

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

(QJLQH#FRQWUROOHU#V\VWHP
7KHHQJLQHFRQWUROOHUSURYLGHVFRQWURORYHUDOOSULQWHQJLQHDFWLYLWLHV,WGULYHVODVHU FRRUGLQDWHVWKHHOHFWURSKRWRJUDSK\SURFHVVZLWKSULQWGDWDIURPWKHPDLQORJLFFRQ WUROOHU7KHHQJLQHV\VWHPDOVRPDQDJHVLQIRUPDWLRQFROOHFWHGEDFNIURPVHQVRUVHWF VRWKDWDPHVVDJHLVJLYHQLQFDVHRIQHHGIRUXVHUDWWHQWLRQ 7KHHQJLQHFRQWUROOHULVUHVSRQVLEOHIRUWKHIROORZLQJV\VWHPVH[SODLQHGVWHSE\VWHS LQWKHIROORZLQJSDJHV

)ODVK#PHPRU\ 7KHHQJLQHFRQWUROOHUXVHVDIODVKPHPRU\WRVWRUHHQYLURQPHQWDOSDUDPHWHUVWKDW GRHVQRWUHTXLUHDEDWWHU\EDFNXS7KHIODVKPHPRU\LVGULYHQE\9SRZHUDQGGH VLJQHGWRVWDQGUHDGLQJDQGZULWLQJIRUQRPLQDOO\WLPHV

+LJK0YROWDJH#JHQHUDWRU 7KHHQJLQHFRQWUROOHUSURGXFHVFORFNV+9&/.DQG+9&/.DQGDSSO\SURJUDPPHG GLYLVRUWRJHQHUDWHKLJKYROWDJHRXWSXWVIRUPDLQFKDUJLQJ7KHFORFNRVFLOODWLRQFDQ EHWRJJOHGRQDQGRIIE\WKHHQJLQHFRQWUROOHU&38

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

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
0RGHO )6 )6 6SHHG +USP, ,QSXW ++], 6&6(/ VLJQDO

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

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

6DIHW\#LQWHUORFN )RUVDIHW\SXUSRVHPLFURVZLWFKHVDUHSURYLGHGWRVHQVHWKDWHLWKHUWKHWRSWRQHUDF FHVVRUVLGHGUXPDFFHVVFRYHULVRSHQ7KHVHVZLWFKHVZKHQWKHDSSOLFDEOHFRYHULV RSHQRSHQDQGGLVFRQQHFWWKH'&SRZHUWRWKHODVHUVFDQQHUDVIROORZV

. 579

,QWHUORFN#VZLWFK

(QJLQH#&38

)DQ

0 DLQ# P RWRU

+L0YROWDJH# XQLW

6KXWWHU 6FDQQHU#XQLW

'UXP

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

7KH#HQJLQH#JDWH#DUUD\ 7KHHQJLQHJDWHDUUD\LVDVXSSOHPHQWDU\GHYLFHWRWKH(QJLQH&387KHJDWHDUUD\LV DSLQ4)3W\SHWKDWKDVWKHLQWHUQDOEORFNVDVILJXUHGEHORZ


*$7(#$55$<#,17(51$/#%/2&.6

2YHUUXQ# GHWHFW 'DWD# VHOHFWRU

5HJLVWHUV

,QWHUUXSW# SURFHVV

3RUWV#$0)

$GGUHVV# GHFRGHU 7HVW#SULQW#

3RUW#PRGH# FRQWURO 3ULQW# GHQVLW\ +LJK0Y# FORFN#JHQ1 ,QWHUORFN#

,QWHUIDFH /DVHU# FRQWURO (QJLQH#&38# DGGUHVV#KROG

PRGH#FNW

'HFRGH2*$# IOXVK

FRQWURO

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3LQ#DVVLJQPHQW 3LQDVVLJQPHQWIRUWKHHQJLQHJDWHDUUD\LVWDEOHRQWKHIROORZLQJSDJHV7KHGHYLFH LQ5HPDUNVFROXPQPHDQVWKRVHZKLFKWKHVLJQDOLVIRUZDUGHGWR


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

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3LQ 1R1

&NW#VLJQDO 9'' 966 7(67&/. ,/2&. (55'< 7+6%< )&6 )'&/ )'&/ 5(*&/ 6&&/. 3',1 966 /$7&+ '6&/. 6'$7$ 9'2 /(1% /21% 6&$1 6&5'< 0027 )$1 ; ; 9'' 966 &/&. ;72 ;7, ,172 5(6 $67%

*$#VLJQDO 9'' 966 767&/. 3% 3$ 3' *$&( 3& 3& 3' 6&&/. 3',1 966 /$7&+ '6&/. 6'$7$ 9'2287 3& /21% 3& 3$ 3' 3) &.2 &.2 9'' 966 &/&.1 ;72 ;7, ,172 5671 $67%

,Q2RXW

'HVFULSWLRQ 3RZHUWHUPLQDO9 3RZHUWHUPLQDO*URXQG

/RJLF

5HPDUNV

,1 ,1 ,1 287 287 287 287 287 287 ,1 287 287 287 287 287 287 287 ,1 287 287 287 287

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

)L[HGORZ (UDVHU )XVHU )ODVK520 &OXWFK &OXWFK &OXWFK 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 6FDQQHU 0DLQPRWRU )DQ

,1 ,1 ,1 287 ,1 ,1

*$WHVWFORFNFOHDU/&OHDULQJ 2VFLOODWRU>0+]@ 2VFLOODWRU>0+]@ ,QWHUUXSW 3RZHURQUHVHW (QJLQH&38$67% 3RV 1HJ

)L[HGKLJK

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3LQ 1R1

&NW#VLJQDO :5 5' $ $ 966 $ $ $ $' $' $' $' $' $' $' $' ($ 9'' 966 ($ ($ ($ ($ ($ ($ ($ 5&6(1 +($77 9'2,1 966 3'287 6& 6&/.

*$#VLJQDO :51 5'1 $ ($ 966 ($ ($ ($ $' $' $' $' $' $' $' $' ($ 9'' 966 ($ ($ ($ ($ ($ ($ ($ 3' 3' 9'2,1 966 3'287 6& 6&/.

,Q2RXW ,1 ,1 ,1 ,1 ,1 ,1 ,1

'HVFULSWLRQ (QJLQH&38:5 (QJLQH&385' (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV 3RZHUWHUPLQDO*URXQG (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV

/RJLF 1HJ 1HJ

5HPDUNV

,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV ,1287 (QJLQH&38DGGUHVVGDWDEXV 287 (QJLQH&38DGGUHVV 3RZHUWHUPLQDO9 3RZHUWHUPLQDO*URXQG 287 287 287 287 287 287 287 ,1 287 ,1 287 ,1 (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV (QJLQH&38DGGUHVV :DVWHWRQHUUHVHUYRLUIXOOQHVV )XVHUKHDWHUFRQWURO+2Q 9LGHRGDWD 3RZHUWHUPLQDO*URXQG %HDPGHWHFWVHQVLQJ 0DLQ,)VWDWXVFRPPDQGFORFN 1HJ 0DLQORJERDUG 0DLQ,) 0DLQ,) ,1287 0DLQ,)VWDWXVFRPPDQG 1HJ 1HJ )XVHU 6FDQQHU 520DGGUHVV 520DGGUHVV 520DGGUHVV 520DGGUHVV 520DGGUHVV 520DGGUHVV 520DGGUHVV 520DGGUHVV

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3LQ 1R1

&NW#VLJQDO &%6< 6%6< &,1+ +9&/. +9&/. 7&61 +92/

*$#VLJQDO &%6<1 6%6<1 &,1+1 +9&. +9&. 3$ +92/

,Q2RXW ,1 287 287 287 287 ,1 287

'HVFULSWLRQ 0DLQFRPPDQGVLQWUDQVPLVVLRQ (QJLQHVWDWXVLQWUDQVPLVVLRQ (QJLQHEXV\ +9XQLWFORFN +9XQLWFORFN 5HPDLQLQJWRQHUVHQVLQJ+(PSW\ 7UDQVIHUELDV7KLFNQRUPDOSDSHU

/RJLF 1HJ 1HJ 1HJ

5HPDUNV 0DLQ,) 0DLQ,) 0DLQ,) +9ERDUG +9ERDUG +9ERDUG +9ERDUG

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

3RZHU#VXSSO\ 7KHSRZHUVXSSO\FRQWDLQVWKH$&DQG'&SRZHUDQGGLVWULEXWLRQFLUFXLWU\RQWKH ERDUG7KHKLJKYROWDJHJHQHUDWRULVQRWLQFOXGHGRQWKLVERDUGEXWRQWKHVHSDUDWH KLJKYROWDJHERDUG7KHSRZHUVXSSO\FLUFXLWLVGLDJUDPPHGRQWKHQH[WSDJH


$&#,1387#$1'#5(&7,),(5=(LWKHU9RU9$&SRZHUDUULYLQJDW&1LVIHGWRWKH$& OLQHILOWHUFLUFXLW//&&HWFDQGUHFWLILHGE\GLRGHDUUD\%'WR'&SRZHU 7UDQVLVWRU4SHUIRUPVVZLWFKLQJRIWKH'&SRZHURXWSXWIRUGRZQYHUWLQJLWWRWKH 9DQG9$&YROWDJHE\PHDQVRIWUDQVIRUPHU7 579#'&#32:(5#/,1(=7KH9$&DWWKHVHFRQGDU\RXWSXWRI7LVUHFWLILHGE\'DQG &&DQGGHOLYHUHGWRFRQQHFWRUV&1DQG&1IRUGLVWULEXWLRQ7KH9'&SRZHU LVUHIHUUHGWRDV9''RU9''&20DQGLVXVHGE\WKHIROORZLQJFRPSRQHQWVLQWKHHQ

JLQHV\VWHP

# )DFHXSGRZQVWDFNVROHQRLGV # &OXWFKHVUHJLVWUDWLRQIHHGPDQXDOIHHG # )DQV # +LJKYROWDJHJHQHUDWRUERDUG # 0DLQPRWRUDQGODVHUSRO\JRQPRWRU # &OXWFKHVPRWRUVVROHQRLGVZLWKLQWKHRSWLRQXQLWV 7KH9'&SRZHULVIRUFLEO\LQWHUUXSWHGIRUVDIHW\ZKHQHYHUWKHSULQWHUWRSFRYHURU WKHGUXPXQLWDFFHVVGRRULVRSHQHG)RUGHWDLOVVHHWKH6DIHW\#LQWHUORFNVHFWLRQ SDJH &HWFOLNHDVIRUWKH9'&SRZHUOLQH,WDOVRGHOLYHUHGWR&1DQG&17KH 9'&SRZHULVUHIHUUHGWRDV9&&DQGLVFRPSUHKHQVLYHO\XVHGE\WKHPDLQFRQWURO OHUVHQVRUVHQJLQHFRQWUROOHUHWF
32:(5#3527(&7,21#&,5&8,7=$IUDFWLRQRIWKH9'&RXWSXWLVZLUHGWRWKHGLRGHVHJ PHQWRI3&SURWHFWLRQFRQWUROOHU,QFDVHRIVKRUWFLUFXLWLQJLQWKH9'&ORDGVLGH WKHGLRGHWULJJHUVWKHWUDQVLVWRUVHJPHQWRI3&DFWLYDWLQJ4DQGHIIHFWLYHO\VKXW WLQJRIIWKHVZLWFKLQJUHJXODWRU4RXWSXW )86(5#+($7(5#32:(5#&21752/=2QWKH$&SULPDU\VLGHWKHIXVHUKHDWHUDQGWKHUPR 89#'&#32:(5#/,1(=7KH9$&DWWKHVHFRQGDU\RXWSXWRI7LVUHFWLILHGE\'DQG

FXWGHYLFHDUHZLUHGLQVHULHVDFURVV&17KHKHDWHULVVZLWFKHGRQDQGRIIDVEHLQJ FRQWUROOHGE\75,$&75&75&WXUQVRQWKHKHDWHUZKHQ+($7&20SLQDW&1LV HQHUJL]HGE\FRPPDQGIURPWKHHQJLQHFRQWUROOHU

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ
32:(5#6833/<#&,5&8,7#+862&$1$'$#9(56,21,

2SHUDWLRQ#WKHRU\

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

/RJLF#FRQWUROOHU#V\VWHP
7KHORJLFFRQWUROOHUV\VWHPGRHVWKHIROORZLQJ # &RPPXQLFDWHVZLWKWKHKRVWFRPSXWHUWRUHFHLYHGDWDDWRQHRIWKHSULQWHUVLQ WHUIDFH # $QDO\]HVDQGWUDQVODWHVWKHSULQWGDWDWREHWKHGRWGDWDLQWKHUDVWHUPHPRU\ # &RPPXQLFDWHVZLWKWKHHQJLQHV\VWHPWRGLVFHUQUDGLQHVVIRUSULQWLQJ # 6WRUHVIRQWVDQGPDFURLQIRUPDWLRQ 7KHPDLQORJLFFRQWUROOHUKDVVSHFLILFDWLRQVDVVKRZQLQWKHIROORZLQJVHFWLRQ$VLP SOLILHGGLDJUDPLVLOOXVWUDWHGRQSDJH

)604:332)606:33#6HULHV

2SHUDWLRQ#RYHUYLHZ

2SHUDWLRQ#WKHRU\

/RJLF#FRQWUROOHU#VSHFLILFDWLRQV
,WHP )604:33 &38 6\VWHP#520#VL]H 5$0#VL]H 6WDQGDUG 0D[LPXP )RQWV 5HVLGHQW &XVWRP $SSOLFDWLRQ#SURJUDP#LQWHUIDFH 3&#FDUG 0&(& 0%N% 0%N% 0%7ZR3& 6,00VORWV 0%0% 0%>3.@ N%N% 6SHFLILFDWLRQ )604:33. 3RZHU3& 0%0% 0%0% 0%7ZR3& 6,00VORWV 0%0% )606:33 0&(& 0%N% 0%N% 0%7ZR3& 6,00VORWV 0%0% 0%>3.@ )606:33. 3RZHU3&H 0%0% 0%0% 0%7ZR3& 6,00VORWV 0%0%

VORW -(,'$3&0&,$ 3DUDOOHO +LJKVSHHGEL GLUHFWLRQDO>,((( @ 56&$ -XPSHUVHWWLQJ 6HH,QWHUIDFH 6HULDOLQWHUIDFH 6HULDOLQWHUIDFH

,QWHUIDFH

6HULDO 2SWLRQ (QJLQH#FRPPXQLFDWLRQ )URQW#SDQHO#FRPPXQLFDWLRQ 2WKHU#IHDWXUHV 6PRRWKLQJ 7RQHUVDYHU 9LGHRFORFN

0+]

.,59HFWRUFRP SHQVDWLRQPHWKRG (FR3ULQW>2Q2II@ 0+] 0+]

(QODUJHUHGXFWLRQ 0DLQVFDQVXEVFDQ

)604:332)606:33#6HULHV

FS-3700 ONLY
BA2-5 256K SRAM

A-01/A-02 Controller Block Diagram

U33 U34

D0-31 CA0-13

STAC9706
DBC0-7 RESET BR/W RAMCS COE CWE 32K*8

STWAIT STACCLK STACCS

X1
TBM(System) RES

16.5MHz

YC5
BA2-19

U1
66MHz

U31
MC88921 D0-7 U11,25 ID0-7 LS367 RESET AS DS OPIF IDRD OPIR OPACK VSREQ LSYNC EVCLK ERDY EPRINT EVSYNC EXTVDO R/W LS367x4

D0-15

CPU
MC68EC040-33MHz

BCLK(33MHz)

Option I/F

U8-11

U4-7
BA4-19

BR Address A2-23

Code ROM
D0-31 (512K*8)*4

Data TS R/W SIZE0,1 TIP RESO

IPL0-2 AVEC TBI TEA BG BB TA

YC2
D0-15 A0-27 PLLLOCK STACIR D0-31 A0-4 A7-14 A19-27

Parallel I/F
IA0,1 ICSA FONTCS2-4 FA0/CA1

U26-28

&21752//(5#%/2&.#',$*5$06=#)604:3326:33

U2 U3

BA2-20

MASK ROM/EPROM
(FONT:2MB, Option:2MB, API:512K)

BUSY ACK PERROR FAULT SELECT STB SELECTI INIT AUTOFD

Data1-8

ACT1284x2 LS367x1

U12
CD0-15 BR/W

U13

U14

PAD0-7

AEG DEG
MB87D111 MB87D110A
LOAD BNDEW ENGSIR DTA RESET

LATCH D2ME CYCCODE0,1 DMASEL

U19-22 X3
Xtal(Video) BA2-23 A-01:50.4872MHz A-02:40.3202MHz BICA2-23 BFA0/CA1 LS367x4

CDIR COE

YC4

RSSEL MRAS0,1 CAS MWE

YC3 U15-18

Serial I/F DRAM


(256K*16)*4 OE DD0-31

U23,24 LS245x2
BICD0-15

CARD

TXD RTS DTR CTS DSR MRA0-10

U29

MC145407

RXD

ORASx3

YS1

CDCEL,H CARDOE CARDWE CATTRIB CDRES WP WAIT CDRES BVD1,2 CDET1,2

RDA

U30

SIMM1
1,2,4,8,16,32MB OE ORASx4 CPRDY CBSY SCLK PRINT VSYNC VDATA RDY SBSY CINH LSRENB VSREQ PD ENGIR SC

RDB SDA SDB

MC34050

YC1

YS2

OWE ORA0-10

Engine I/F SIMM2


FPDIR FPSCLK FPDATA

YC7

Debugger

DBTXD DBRXD DBCLK

1,2,4,8,16,32MB OE

RES

2SHUDWLRQ#RYHUYLHZ

)604:332)606:33#6HULHV
LSRENB VSREQ ENGIR

2SHUDWLRQ#WKHRU\

VSREQ

1996.5.27

0XOWLSOH[#%86

&38 33&734*) # 0830+]


/DWFK#$GGUHVV #%86

65

)604:33.2)606:33.

4;

53

65

54

49

53

49

4;

49

65

$6,&=53;SLQ#64)3
# +',00#3:%,

# &2'(#520

# 67#)217 623 +77SLQ, # 23#)217#',3#,& 62&.(7 +75SLQ,

# 1(: 2SWLRQ # ,2) # 3&#&$5' *DWH#$UUD\ 453SLQ#64)3

DGGUHVV#GHFRGH/'0$&/ &HQWUR/06HULDO/#02SWLRQ#,2)/ '5$0#FRQWUROOHU/ ,QWHUUXSW#FRQWUROOHU/ 9LGHR/#(QJLQH#,2)/HWF1


; 65

# # %XIIHU
;

'5$0#'DWD#65249ELW

6(5,$/ ,2)#FRQQHFWRU

(1*,1(#,2) ##

85

'5$0#$GGUHVV

44

# '5$0 VWDQGDUG

# 6,00 RSWLRQDO
&(1752 ,2)#FRQQHFWRU

9;SLQ FRQQHFWRU

3&0&$5'

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

)604:332)606:33#6HULHV

845848#/669: ,2$5705 %,&$5704 ,2$5508 ('(9$/71 '6403 '6403 ,2$5305 <66 6\VWHP 520 +',00, ;5 73165350+] )$3 991999:0 +] '65$37035 ,2&$ ,2$5705

$5<03

$5<03

$5<03 $5<053 $703

)604833.2)606:33.

660 '6403 %&/.4

660 %&/.5

660 %&/.6

84 3RZHU3& 936H 86 *DWH#DUUD\ #'33# 83'<:388 ,2&$ )$3 425 54 849/84:#/6578 /'4803 /'4803 %,&'4803 7%0990

+4330+],

85 *DWH#DUUD\ $33# 0%&*79:46

''6403 /'4803 ''6403 /'4803 <&8 +.8,2, 2SWLRQ,2) 8: )RQW520 8< 2SW1520

<&4 (QJLQH#,2)

/'4803

%&/.4 %&/.5 %&/.6 ,2$4<05 ,2$54/ /'4803 ,2$4905

<&5 3DUDOOHO

%XI1 84;0 854

''6403

.30968

<&6

6HULDO

<&;

%XI1

8550 56

843/844 '5$0

<64 6,00 RSWLRQDO

<&7 3&0&DUG

635377

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

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

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

$3,#520#VRFNHW 6RFNHW8IRUWKH)6RU8IRUWKH3OXV6HULHVZKLFKLVHPSW\DWWKH VKLSPHQWDFFHSWVDQ$3,$SSOLFDWLRQ3URJUDP,QWHUIDFH5207KH$3,520VKRXOG EHD-('(&FRQIRUPLQJ(3520KDYLQJWKHIROORZLQJIHDWXUHV


6RFNHW#1R1 3LQV 6L]H &RPSRVLWLRQ $FFHVVVSHHG 0ELWV NE\ELWV !QV 84728<

7KHQXPEHURIFORFNVVKRXOGEH'DWDDUHUHDGLQDELWPRGHH[SDQGHGXVLQJ KDUGZDUH 7KHIROORZLQJWDEOHVKRZVWKHSLQWRVLJQDODVVLJQPHQWVIRUWKH520WREHXVHG

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

$3,#520#VRFNHW#SLQ#DVVLJQPHQW
3LQ 1R1 4 5 6 7 8 9 : ; < 43 44 45 46 47 48 49 4: 4; 4< 53 7HUPLQDO#GHVFULS0 WLRQ $9SS &( ' ' ' ' ' ' ' ' *1' ' ' ' ' ' ' ' ' 2( 6LJQDO#QDPH 9&&IL[HG *1'IL[HG &' &' &' &' &' &' &' &' *1' &' &' &' &' &' &' &' &' )217&6 3LQ 1R1 54 55 56 57 58 59 5: 5; 5< 63 64 65 66 67 68 69 6: 6; 6< 73 7HUPLQDO#GHVFULW0 SLRQ $ $ $ $ $ $ $ $ $ *1' $ $ $ $ $ $ $ $ $ 9&& 6LJQDO#QDPH )$&$ %$ %$ %$ %$ %$ %$ %$ %$ *1' %$ %$ %$ %$ %$ %$ %$ %$ %$ 9&&

7KHDVWHULVNHGGHVFULSWLRQVPHDQQHJDWLYHORJLF

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

6\VWHP#520

)25#02'(/#)604:3326:33#+87#WR#8:, 7KHV\VWHP520VDOVRUHIHUUHGWRDVFRGH520FRQWDLQLQIRUPDWRQIRUFRQWUROOLQJ WKHFRQWUROOHU&387KHVHDUHVHUYHGE\WKHFRQWUROOHU&380&(&0+] ZKLFKLVDSLQ&4)3 7KHV\VWHP520FKLSVLQFRUSRUDWHWKHIROORZLQJIHDWXUHV


1XPEHURI520V 6RFNHW1RV 3LQV 6L]H &RPSRVLWLRQ $FFHVVVSHHG 8WR8 ',3 0ELWV NE\ELWV !QV

)25#3/8606(5,(6#+<66, $',00LVXVHGIRUWKHVDPHSXUSRVHDVDERYHIRUWKH)6DQG)67KLV GHWDFKDEOH',00LVVHUYHGE\WKHFRQWUROOHU&383RZHU3&IRUWKH)6 E\3RZHU3&HIRUWKH)6 7KH',00LQFRUSRUDWHWKHIROORZLQJIHDWXUHV


1XPEHUXVHG 6RFNHW1R 3LQV 6L]H &RPSRVLWLRQ $FFHVVVSHHG <688 ',00 0ELWV 0%E\ELWV !QV

5$0 7KH5$0WHPSRUDULO\KROGVSULQWGDWDDQGIRQWLQIRUPDWLRQWUDQVIHUUHGIURPWKH KRVWEXIIHUV7KHVL]HRIWKH5$0LVH[SDQGDEOHXVLQJFRPSUHKHQVLYH3&6,00V7KH VWDQGDUG5$0VL]HLV0%IRUERWK)6DQG)60%PD[LPXPDQG

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

0%IRUERWK3OXV6HULHVPRGHOV0%PD[LPXP
)604:3326:33 1XPEHURI5$0V 6RFNHW1RV 3LQV 6L]H &RPSRVLWLRQ $FFHVVVSHHG 8WR8 620% N%NE\ELWVE\ QV 8DQG8 620% 0%0%E\ELWVE\ QV 3OXV#6HULHV

7KHH[SDQVLRQ6,00VKRXOGLQFRUSRUDWHWKHIROORZLQJIHDWXUHV
1XPEHURI6,00VRFNHWV 6RFNHW1RV 3LQV 6L]H $FFHVVVSHHG <6<6 0% QV

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
)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

7KHRSWLRQLQWHUIDFHKDVWKHIROORZLQJIHDWXUHV
&DUGFRQQHFWRU $SSOLFDEOHLQWHUIDFHFDUG SLQV6HHWDEOHEHORZ$03RUHTXLYDOHQW .\RFHUD,%

)25#3/8606(5,(6#02'(/6 7KH3OXVVHULHVPRGHOVKDYHWZRVORWLQW\SHVORWVIRUWKHRSWLRQLQWHUIDFHFDUGV7KH LQWHUIDFHDOORZVWKH'0$DFFHVV

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

2SWLRQLQWHUIDFHSLQDVVLJQPHQW 3LQDVVLJQPHQWRIWKHRSWLRQLQWHUIDFHFRQQHFWRULVWDEOHGRQWKHIROORZLQJ SDJH2SWLRQLQWHUIDFHSLQDVVLJQPHQW


3LQ 1R1 9 9 9 9 9 9 9 9 9 9 1& 1& 1& $ $ 7HUPLQDO 9&& 9&& 9&& 9&& 9&& 9&& 6LJQDO 3LQ 1R1 2 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 7HUPLQDO %$ %$ %$ %$ %$ %$ %$ %$ %$ %$ %$ %$ %$ %$ %$ 6LJQDO

1&1RWXVHG 1&1RWXVHG 1&1RWXVHG 1&1RWXVHG 1&5HVHUYHG 1&5HVHUYHG 1&5HVHUYHG


%$ %$

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

2SWLRQ#LQWHUIDFH#SLQ#DVVLJQPHQW#0#&RQWLQXHG
3LQ 1R1 $ 1& 1& 23,) 235'< ,' ,' ,' ,' ,' ,' ,' 1& 1& $6 '6 23'$& 5: 23,5 5(6(7 ' ' ' ' ' 7HUPLQDO %$ 6LJQDO 3LQ 1R1 ' ' ' ' ' ' ' ' ' ' ' 9'2 /6<1& 9&/. 35,17 965(4 96<1& 5'< 1& *1' *1' *1' *1' *1' *1' 7HUPLQDO ' ' ' ' ' ' ' ' ' ' ' (;79'2 /6<1& (9&/. (35,17 965(4 (96<1& (5'< 6LJQDO

1&5HVHUYHG 1&5HVHUYHG
23,) ' ' ' ' ' ' ' '

1&5HVHUYHG 1&5HVHUYHG
$6 '6 23$&. 5: 23,5 5(6(7 ' ' ' ' '

1&5HVHUYHG
*1' *1' *1' *1' *1' *1'

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

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
&RQQHFWRUW\SH %DXGUDWHVVHF 3URWRFRO SLQ'VXE 56&56$VZLWFKDEOH

7KHVHULDOLQWHUIDFHFRQQHFWRUDOVRLQFRUSRUDWHVWKHGHEXJJLQJVLJQDORXWSXWVDVH[ SODLQHGEHORZ

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

'HEXJJLQJ#RXWSXWV &RQQHFWRU<&IRUPRGHOV)6)6RU<&IRU3OXVVHULHVPRGHOVSUR YLGHVWKHIROORZLQJVLJQDOVIRUGHEXJJLQJ

3LQ#1R1

6LJQDO '%7;' '%5;' '%&/.

'LUHFWLRQ#RI#IORZ 3ULQWHUWRKRVW +RVWWRSULQWHU +RVWWRSULQWHU

'HILQLWLRQ 7UDQVPLVVLRQGDWD 5HFHSWLRQGDWD 7UDQVIHUFORFN

(QJLQH#LQWHUIDFH 7KHLQWHUIDFHWRWKHHQJLQHV\VWHPLVEDVHGRQWKHVHULDOLQWHUIDFHQRWWKHSDUDOOHOLQ WHUIDFHWKDWZDVXVHGZLWKWKHSUHYLRXVOLQHXSRIWKH(FRV\VSULQWHUV7KHVHULDOWR SDUDOOHOFRQYHUVLRQLVH[HFXWHGRQDKDUGZDUHEDVLV 7KHHQJLQHERDUGLVGHWDFKDEOHIURPWKHSULQWHUDWLWVLQWHUIDFHFRQQHFWRU7KHHQJLQH LQWHUIDFHFRQQHFWRUKDVWKHIROORZLQJSLQDVVLVQJPHQWV

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

(QJLQH#LQWHUIDFH#FRQQHFWRU#DVVLJQPHQW
3LQ 1R1 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 7HUPLQDO *1' 9&& 9&& 53257 965(4= &%6<= 6&= 5'<= 5;' 7;' )3'$7$ 35,17= 5(6(7= /(1 *1' *1' *1' 9&& 9&& (*,5 965(4 &%6< 6& 5'< 6LJQDO 3LQ 1R1 % % % % % % % % % % % % % % % % 7HUPLQDO *1' 9&& 9&& '&= 6%6<= 6&/. &35'< &,1+= 9&& )50%<= 96<1&= 3'= )36&/. 9'2 )3'5& *1' *1' 9&& 9&& 6LJQDO

1&5HVHUYHG
6%6< 6&/. &35'< &,1+ 9&&

1&5HVHUYHG 1&5HVHUYHG
)3'$7 35,17 567 2873( *1' *1'

1&5HVHUYHG
96<1& 3'287 )3&. 9,'(2 )3'5 *1'

0HDQVQHJDWLYHORJLF

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

6LJQDOV#XVHG#IRU#WKH#HQJLQH#LQWHUIDFH 7KHIROORZLQJVLJQDOVDUHXVHGIRUWKHHQJLQHLQWHUIDFHFRPPXQLFDWLRQ)LJXUHRQ QH[WSDJHVKRZVDVLPSOLILHGIXQFWLRQGLDJUDPRIWKHHQJLQHLQWHUIDFHDQGWKHVLJ QDOV

6LJQDO 6%6<1

0HDQLQJ 6WDWXV%X6< VLJ1DO

$FWLYH /RZ

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

&%6<1

&RPPDQG%X6< VLJ1DO

/RZ

62&

6WDWXV GDWD&RPPDQG GDWD 6HULDO&/RF.

6&/.

&,1+1

&RPPDQG,1 +LELWVLJ1DO

/RZ

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

(QJLQH#LQWHUIDFH#VLJQDOV

)604:332)606:33#6HULHV

/RJLF#FRQWUROOHU#V\VWHP

2SHUDWLRQ#RYHUYLHZ

)604:332)606:33#6HULHV

&KDSWHU#7KUHH# & 2 1 7 ( 1 7 6 #604

/LIH#H[SHFWDQF\#RI#PRGXOHV#606 7RQHU#FRQWDLQHUV#607 7RQHU#FRQWDLQHU#UHSODFHPHQW#607 :DVWH#WRQHU#ERWWOH#608 7RQHU#VDYHU#PRGH#+(FR3ULQW,#609 &OHDQLQJ#WKH#SULQWHU#60: 0DLQ#FKDUJHU#XQLW#60: 3DSHU#)HHG#8QLW#6044 5HSODFLQJ#WKH#GHYHORSHU#6045 6KLSSLQJ#WKH#GHYHORSHU#XQLW#6045 )HHGLQJ#WRQHU#LQWR#WKH#QHZ#GHYHORSHU#6046 8SGDWLQJ#WKH#HQJLQH#ILUPZDUH#6047 (QJLQH2IURQW#SDQHO#GDWD#IRUPDW#6048 'RZQORDGLQJ#GDWD#IURP#WKH#SDUDOOHO#LQWHUIDFH#6048 'RZQORDGLQJ#GDWD#IURP#D#PHPRU\#FDUG#6049 'RZQORDGLQJ#HUURUV#604: $GMXVWLQJ#WKH#WUDQVIHU#ELDV#IRU#WKLFN#SDSHU#604;

/LIH#H[SHFWDQF\#RI#PRGXOHV

0DLQWHQDQFH

/LIH#H[SHFWDQF\#RI#PRGXOHV
7KHWDEOHEHORZVKRZVWKHQRPLQDOOLIHH[SHFWDQF\IRUPRGXOHV'HWDLOHGSDUW LQIRUPDWLRQIRUHDFKPRGXOHH[FHSWWRQHUFRQWDLQHUVFDQEHIRXQGLQFKDSWHU 3DUWV&DWDORJ
0RGXOH 1RPLQDO OLIH +SDJHV, 7RQHUFRQWDLQHU 7RQHUFRQWDLQHU 'UXPXQLW 'HYHORSHUXQLW )XVHUXQLW 5HIXUELVKPHQWNLW )604:33 7. 7.+ '. '9 ). 0. 0RGHO )604:33. '. 0. '. ). 0. )606:33 )606:33.

,QFOXGHV'.'9).NLWVDQGDIHHGWUDQVIHUXQLW

)604:332)606:33

7RQHU#FRQWDLQHUV

0DLQWHQDQFH

7RQHU#FRQWDLQHUV
7KHWRQHUFRQWDLQHULVWKHRQO\FRQVXPDEOHWKDWWKHSULQWHUUHTXHVWVUHSODFHPHQW GXULQJQRUPDORSHUDWLRQXVHUUHSODFHDEOH7KHIROORZLQJWRQHUFRQWDLQHUVDUH DYDLODEOHIRUXVHZLWKPRGHOV)6DQG)6
0RGHO 7. 7.+ /LIH#LQ#SDJHV 1R1#RI#ZDVWH#WRQHU#ERWWOHV#LQFOXGHG 2QH 7ZR

%DVHGRQOHWWHURU$VL]HSDSHUDYHUDJHSULQWGHQVLW\RI

7RQHU#FRQWDLQHU#UHSODFHPHQW 7KHSULQWHUJLYHVWZRVWHSVRIXVHUDWWHQWLRQDVH[SODLQHGEHORZ7KHILUVWRQHLVWKH ZDUQLQJWKDWWKHWRQHULVDOPRVWUXQRXW7KLVLVWKHHDUOLHVWFKDQFHIRUWKHXVHUWR UHSODFHWKHWRQHUFRQWDLQHUDQGFOHDQYDULRXVSDUWVLQVLGHWKHSULQWHU6HHVHFWLRQ &OHDQLQJ#WKH#SULQWHURQSDJH Toner low TK-20 Clean printer ,IWKHXVHUFRQWLQXHVWRXVHWKHSULQWHUWKHSULQWHUZLOOSULQWDSSUR[LPDWHO\SDJHV $RU/HWWHUVL]HSDSHUDYHUDJHWRQHUGHQVLW\HYHQWXDOO\WKHWRQHUVXSSO\EHLQJ H[KDXVWHGDWZKLFKSRLQWWKHSULQWHUZLOOVWRSSULQWLQJDQGWKHIROORZLQJPHVVDJH ZLOOEHGLVSOD\HG Replace Toner Clean printer 7KLVLQVWUXFWVWRLQVWDOODQHZWRQHUNLWWREULQJWKHSULQWHUEDFNLQQRUPDORSHUDWLRQ &OHDQLQJYDULRXVSDUWVLQVLGHPXVWEHDOVRGRQHLQWKLVRFFDVLRQ6HHVHFWLRQ &OHDQLQJ#WKH#SULQWHURQSDJH 7RUHSODFHWKHWRQHUFRQWDLQHUnSXOOWKHWRQHUFRQWDLQHUUHOHDVHOHYHUoWRULJKWDV VKRZQ

)604:332)606:33

7RQHU#FRQWDLQHUV

0DLQWHQDQFH

7KHQUHIHUWRVHFWLRQ,QVWDOOLQJ#WRQHURQSDJHWRLQVWDOOWKHQHZWRQHUFRQWDLQHU $IWHULQVWDOOLQJWKHQHZWRQHUFRQWDLQHUVHYHUDOSDUWVLQWKHSULQWHUPXVWEHFOHDQHG DVLQVWUXFWHGLQVHFWLRQ&OHDQLQJ#WKH#SULQWHURQSDJH ,IWKHWRQHUFRQWDLQHUKDVEHHQUHSODFHGZKHQWKHPHVVDJH Replace Toner Clean printer ZDVGLVSOD\HGWKHPHVVDJH Clean printer.. press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
)604:332)606:33

7RQHU#FRQWDLQHUV

0DLQWHQDQFH

7RQHU#VDYHU#PRGH#+(FR3ULQW, 7KH(FR3ULQWHQDEOHVWRUHGXFHWKHDPRXQWRIWRQHUFRQVXPHGRQWKHSDJHVRDVWR VDYHSULQWLQJFRVWVE\GUDVWLFDOO\H[WHQGLQJWKHWRQHUFRQWDLQHUOLIH(FR3ULQWPRGHLV IDFWRU\VHWWRRIIDQGWXUQHGRQE\WKHSULQWHUVIURQWFRQWUROSDQHODOVRDFFHVVLEOH WKURXJKWKHDSSOLFDWLRQVRIWZDUHZLWKWKHDVVLVWDQFHRIWKHSULQWHUGULYHU6HH GHWDLOVLQWKH0RGH#6HOHFW#0HQXURDGPDSLQFKDSWHU 7KH(FR3ULQWVHWWLQJKDVQRHIIHFWRQWKHSULQWVSHHG

)604:332)606:33

&OHDQLQJ#WKH#SULQWHU

0DLQWHQDQFH

&OHDQLQJ#WKH#SULQWHU
7RDYRLGSULQWTXDOLW\SUREOHPVWKHIROORZLQJSULQWHUSDUWVPXVWEHFOHDQHGZLWK HYHU\WRQHUFRQWDLQHUUHSODFHPHQW 0DLQ#FKDUJHU#XQLW 7KHPDLQFKDUJHUXQLWVKRXOGEHFOHDQHGLQLWVWZRSDUWVWKHZLUHDQGJULG6HHWKH SLFWXUHEHORZZKHQHYHUWKHWRQHUFRQWDLQHULVFKDQJHG&OHDQLQJRIWKHPDLQ FKDUJHUFDQEHGRQHZLWKRXWQHHGLQJDQ\WRROVWKDQNVWRLWVVHOIFOHDQLQJV\VWHP

&KDUJHU#ZLUH

*ULG

&RQWDFW#IRU#WKH#PDLQ FKDUJHU#ELDV

)604:332)606:33

&OHDQLQJ#WKH#SULQWHU

0DLQWHQDQFH

7RFOHDQWKHPDLQFKDUJHUILUVWRSHQWKHGUXPDFFHVVGRRU3XOOWKHFOHDQLQJNQRE JUHHQVORZO\LQDQGRXWDIHZWLPHV7KLVSXOOVDFOHDQLQJSDGLQVLGHWKHGUXP XQLWDORQJWKHZLUH


7KHQFOHDQWKHJULGXVLQJWKHJULGFOHDQHUVXSSOLHGZLWKWKHWRQHUNLW 7DNHWKHJULGFOHDQHUIURPSURWHFWLYHEDJLQWKHQHZWRQHUNLWDQGUHPRYHWKHFDS

3DGLPSUHJQDWHGZLWKZDWHU

)604:332)606:33

&OHDQLQJ#WKH#SULQWHU

0DLQWHQDQFH

7KHJULGFOHDQHUSDGLVLPSUHJQDWHGZLWKZDWHU3HUIRUPWKHIROORZLQJFOHDQLQJ SURFHGXUHEHIRUHWKHSDGGULHV $WWDFKWKHJULGFOHDQHUWRWKHSULQWHUZLWKWKHSDGXSSHUPRVWDVVKRZQLQWKH GLDJUDPEHORZ

)604:332)606:33

&OHDQLQJ#WKH#SULQWHU

0DLQWHQDQFH

$IWHUDWWDFKLQJWKHJULGFOHDQHUUHSHDWWKHDFWLRQRIVORZO\SXOOLQJRXWDQGWKHQ SXVKLQJEDFNLQWKHPDLQFKDUJHUXQLWLWVHOIQRWWKHJUHHQNQREWKDWZDV XVHGLQWKHSUHYLRXVVHFWLRQDWOHDVWWLPHV,WLVHDVLHUWRSXOORXWWKHPDLQ FKDUJHUIRUWKHILUVWWLPHLILWLVUDLVHGVOLJKWO\DVVKRZQLQWKHILJXUH

7R#UHOHDVH#WKH PDLQ#FKDUJHU#XQLW IRU#SXOOLQJ/#ILUVW SXOO#LW#XS

7KHQ/#SXOO#LW KRUL]RQWDOO\#RXW1

7KHJULGSDUWXQGHUQHDWKWKHPDLQFKDUJHULVFOHDQHGE\WKLVSURFHGXUH:KHQWKH JULGLVFOHDQUHPRYHWKHJULGFOHDQHUIURPWKHSULQWHUDQGGLVSRVHRILW7KHJULG FOHDQHULVQRWUHXVDEOH$IWHUFOHDQLQJWKHFKDUJHUZLUHSXVKWKHFOHDQLQJNQREDOO WKHZD\LQDQGFORVHWKHGUXPDFFHVVGRRU

)604:332)606:33

&OHDQLQJ#WKH#SULQWHU

0DLQWHQDQFH

3DSHU#)HHG#8QLW 7RDYRLGSULQWTXDOLW\SUREOHPVGXHWRSDSHUGXVWDQGGHEULVFOHDQWKHSDSHUIHHG XQLWLQWKHIROORZLQJPDQQHU 3XOOWKHSDSHUIHHGXQLWUHOHDVHOHYHUXSDQGGUDZWKHSDSHUIHHGXQLWDOOWKHZD\RXW XQWLOLWVWRSV:LSHWKHSDSHUGXVWRQWKHUHJLVWUDWLRQUROOHUDQGWKHSDSHUUDPS XVLQJWKHZLSHUFORWKLQFOXGHGLQWKHWRQHUNLW 'R#QRW#WRXFK#WKH#WUDQVIHU#UROOHU#+EODFN#VSRQJH#UROOHU,#ZKHQ#ZLSLQJ#WKH SDSHU#UDPS1

)604:332)606:33

5HSODFLQJ#WKH#GHYHORSHU

0DLQWHQDQFH

5HSODFLQJ#WKH#GHYHORSHU
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

3ODVWLF#EDJ &ORVH#WKH#FRYHU RQ#WKLV#VLGH1

&RQWDLQHU

)604:332)606:33

5HSODFLQJ#WKH#GHYHORSHU

0DLQWHQDQFH

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
.H\#WR#SUHVV= 'LVSOD\#WR#VKRZ=

02'( &UHSHDWHGO\ &UHSHDWHGO\ (17(5 (17(5 >Service> >>Developer >>Developer?


7KHSULQWHUHQWHUVWKH VHUYLFHPRGHDQGWKH GHYHORSHUXQLWDQGWKH WRQHUIHHGHUPRWRUDUH FRQWLQXDOO\DFWLYDWHG

Others>

7XUQSULQWHUSRZHURIIWKHQRQ

:KHQSULQWHUSRZHULVWXUQHGRQDJDLQWKHSULQWHUFRQWLQXDOO\HQJDJHVLQWKLVPRGH IRUDSHULRGRIDSSUR[LPDWHO\PLQXWHVIRUPRGHO)6DQGDSSUR[LPDWHO\ PLQXWHVIRUPRGHO)6DIWHUZKLFKWKHSULQWHUUHYHUWVWRWKHUHDG\VWDWH

)604:332)606:33

8SGDWLQJ#WKH#HQJLQH#ILUPZDUH

0DLQWHQDQFH

8SGDWLQJ#WKH#HQJLQH#ILUPZDUH
7KHSULQWHUDFFHSWVXSGDWHRIWKHHQJLQHILUPZDUHDVZHOODVWKHORFDOL]HGIURQWSDQHO PHVVDJHGDWDWKURXJKWKHSDUDOOHOLQWHUIDFH8SGDWLQJXVLQJWKHVHGDWDLV LPSOHPHQWHGE\GLUHFWO\UHZULWLQJWKHIOXVKPHPRU\LQWKHSULQWHUVHQJLQHERDUG 7KHSULQWHUPXVWEHLQWKHVXSHUYLVRUPRGH6HHSDJHWRXSGDWHWKHHQJLQH ILUPZDUH 1RWH1# 7KLVDSSOLHVWKHHQJLQHILUPZDUHRQO\7KHFRQWUROOHUILUPZDUHLVXSGDWHGE\ UHSODFLQJ',00 .\RFHUDVXSSOLHVWKUHHW\SHVRIGDWDIRUXSGDWLQJWKHHQJLQHILUPZDUHGHSHQGLQJRQ WKHSXUSRVHRIXSGDWH7KHVHDUH # (QJLQHILUPZDUHGDWD # )URQWSDQHOLQLWLDOL]DWLRQGDWDUHTXLUHGWRUHSURJUDPWKHSDQHOPHVVDJH # )URQWSDQHOPHVVDJHGDWD 7KHVHGDWDPD\EHVWRUHGLQDPHPRU\FDUGIRUILHOGXVH7RVWRUHZULWHGDWDLQD PHPRU\FDUGDQGUHUHDGWKHPLQWRWKHSULQWHUWKURXJKWKHVORWUHIHUWRWKHSULQWHUV 8VHUV0DQXDO 1RWH1# (DFKVLQJOHGDWDPXVWEHZULWWHQRQDPHPRU\FDUG'RQRWZULWHPRUHWKDQRQHGDWD RQDPHPRU\FDUG

)604:332)606:33

8SGDWLQJ#WKH#HQJLQH#ILUPZDUH

0DLQWHQDQFH

(QJLQH2IURQW#SDQHO#GDWD#IRUPDW 7KHGDWDLVLGHQWLILHGXVLQJWKHIROORZLQJQDPLQJV\QWD[

de0230.dat

,GHQWLILHV

GH(QJLQHILUPZDUHGDWD GP)URQWSDQHOPHVVDJHGDWD )6 )6 )6 )6 9HUVLRQRIGDWD GDW(QJLQHILUPZDUHGDWD GDQ3DQHOPHVVDJHGDWDIRU'DQLVK VZH3DQHOPHVVDJHGDWDIRU6ZHGLVK LWD3DQHOPHVVDJHGDWDIRU,WDOLDQ VSD3DQHOPHVVDJHGDWDIRU6SDQLVK

)604:332)606:33

8SGDWLQJ#WKH#HQJLQH#ILUPZDUH

0DLQWHQDQFH

'RZQORDGLQJ#GDWD#IURP#WKH#SDUDOOHO#LQWHUIDFH 7RGRZQORDGGDWDIURPWKHSDUDOOHOLQWHUIDFH
3HUIRUP/#IURP#WRS#WR#ERWWRP= 7XUQSULQWHUSRZHURQ0DNHVXUHWKHSULQWHULV 5HDG\ $WWKH'26SURPSWH[HFXWHWKHIROORZLQJFRPPDQG !R! BOOT SPR; 1RWH'RQRWDGGDQ(;,7FRPPDQGLQWKHDERYH 7KHGLVSOD\VKRXOGLQGLFDWHSupervisor Mode '26&23<WKHGDWDWRGRZQORDGIURPWKHKRVW FRPSXWHU &KHFNWKHGLVSOD\UHYHUWVWR5HDG\ 7XUQSRZHURIIWKHQRQDJDLQ&KHFNWKHGLVSOD\ VKRZV5HDG\,IQRWUHIHUWR'RZQORDGLQJHUURUV VHFWLRQWKDWIROORZV 7KHQ#WKH#GLVSOD\#VKRZV=

Ready

Supervisor mode Downloading Ready

&RQILUPWKHVWDWXVSDJHVKRZVWKHQHZHQJLQHYHUVLRQ6HH$SSHQGL[%SDJH%,I WKHPHVVDJHGLVSOD\LQGLFDWHV&DOOVHUYLFHSHUVRQ'QQ UHIHUWRVHFWLRQRQ 'RZQORDGLQJGDWDIURPDPHPRU\FDUGSDJH 'RZQORDGLQJ#GDWD#IURP#D#PHPRU\#FDUG 7RGRZQORDGGDWDZULWWHQLQDPHPRU\FDUGWRWKHSULQWHU


3HUIRUP/#IURP#WRS#WR#ERWWRP= ,QVHUWWKHPHPRU\FDUGLQWKHSULQWHUVPHPRU\FDUG VORWDWWKHULJKWVLGH 7XUQSULQWHUSRZHURQ7KHSULQWHUDXWRPDWLFDOO\UHDGV GDWDLQWKHPHPRU\FDUGLQGLFDWLQJ'RZQORDGLQJRQ WKHPHVVDJHSDQHO :KHQWKHGDWDLVVXFFHVVIXOO\UHDGWKHPHVVDJHGLVSOD\ LQGLFDWHV6XSHUYLVRUPRGH 7XUQSULQWHUSRZHURII 5HPRYHWKHPHPRU\FDUGIURPWKHSULQWHU 7KHQ#WKH#GLVSOD\#WR VKRZ=

Downloading

Supervisor mode

)604:332)606:33

8SGDWLQJ#WKH#HQJLQH#ILUPZDUH

0DLQWHQDQFH

7XUQSULQWHUSRZHURQDJDLQ&KHFNWKHGLVSOD\VKRZV 5HDG\,IQRWUHIHUWR'RZQORDGLQJHUURUVVHFWLRQWKDW IROORZV

Ready

&RQILUPWKHVWDWXVSDJHVKRZVWKHQHZHQJLQHYHUVLRQ6HH$SSHQGL[%SDJH%,I WKHPHVVDJHGLVSOD\LQGLFDWHV&DOOVHUYLFHSHUVRQ'QQ UHIHUWRVHFWLRQ 'RZQORDGLQJHUURUVEHORZ 'RZQORDGLQJ#HUURUV 7KHIROORZLQJPHVVDJHVDUHLQGLFDWHGRQWKHPHVVDJHGLVSOD\ZKHQDQHUURURFFXUUHG GXULQJGRZQORDGLQJGDWD


(UURU#PHVVDJH Call service person D0&KHFNVXPHUURU Call service person D10DFKLQH FRPSDWLELOLW\HUURU Call service person D29HUVLRQFRPSDWLELOLW\ HUURU Call service person D3'DWDHUURU 0HDQLQJ &KHFNVXPHUURURFFXUUHGGXULQJ GRZQORDGLQJ7KHHQJLQH520LV HPSW\ 7KHGDWDWREHGRZQORDGHGLVQRW FRPSDWLEOHZLWKWKHSULQWHU 7KHYHUVLRQRIWKHGDWDGRHVQRW PDWFKWKHFXUUHQWHQJLQHYHUVLRQ 7KHGDWDWREHGRZQORDGHGLV FRUUXSWHG &RUUHFWLYH#DFWLRQ 7XUQSULQWHUSRZHURIIRQFHWKHQ RQDJDLQ7U\GRZQORDGLQJDJDLQ 2EWDLQFRUUHFWGDWDIRUWKH SULQWHUPRGHO 2EWDLQWKHFRUUHFWYHUVLRQRI GDWD 2EWDLQWKHFRUUHFWGDWD

)604:332)606:33

$GMXVWLQJ#WKH#WUDQVIHU#ELDV#IRU#WKLFN#SDSHU

0DLQWHQDQFH

$GMXVWLQJ#WKH#WUDQVIHU#ELDV#IRU#WKLFN#SDSHU
3ULQWLQJRQSDSHUZLWKH[WUDWKLFNQHVVRIWRJPVXFKDVSRVWFDUGV2+3 HQYHORSHVHWFWHQGWRUHVXOWLQIDLQWSULQWLQJEHFDXVHRILQVXIILFLHQWSHQHWUDWLRQRI WUDQVIHUELDVGHYHORSHUDWWKHWUDQVIHUUROOHU)RUWKHVDWLVIDFWRU\WUDQVIHUULQJSURFHVV RQGLIIHUHQWSDSHUWKLFNQHVVWKHWUDQVIHUELDVLVXVHUVZLWFKDEOHIURPN9WR N9OLPLWRUYLFHYHUVDE\XVLQJWKHSULQWHUVRSHUDWRUSDQHO 7RLQFUHDVHWKHWUDQVIHUELDVIRUDW\SHRIWKLFNSDSHUSHUIRUPWKHIROORZLQJVWHSV WRSWRERWWRP
.H\#WR#SUHVV= 'LVSOD\#WR#VKRZ=

02'( &UHSHDWHGO\ (17(5 & (17(5 Paper type Normal Paper type Normal ? Paper type Thick ?
7KHWUDQVIHUELDVLVUDLVHG IRUWKLFNSDSHU

'RXEOHVLGHGSULQWLQJXVLQJD'8GXSOH[HUDXWRPDWLFDOO\LQWURGXFHVWKHKLJKHU VHWWLQJRIWKHWUDQVIHUELDV

)604:332)606:33

&KDSWHU#7ZR# & 2 1 7 ( 1 7 6

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

8QSDFNLQJ#DQG#,QVSHFWLRQ

,QVWDOODWLRQ#DQG#RSHUDWLRQ

8QSDFNLQJ#DQG#,QVSHFWLRQ
([DPLQHWKHSDFNDJHIRUDQ\VLJQVRIGDPDJHWKDWPD\KDYHEHHQFDXVHGGXULQJ VKLSSLQJ,IWKHFDUWRQLVIRXQGEDGO\GDPDJHGOHDYHWKHFDUWRQXQRSHQHGDQG LPPHGLDWHO\QRWLI\WKHFDUULHUEHIRUHDFFHSWLQJLW

8QSDFNLQJ :KLOHXQSDFNLQJWKHSULQWHUFKHFNWKDWWKHOLVWHGSDUWVDUHDOOSUHVHQW

3DSHUVWRSSHUIRU 'RFXPHQWLQFOXGLQJ&'520

3RZHUFDEOH )DFHXSVWDFNWUD\

7RQHUNLW7. &RQWDLQHUIRUGHYHORSHU

1RWH7KHIDFHXSVWDFNWUD\DQGSDSHUVWRSSHUDUHQRWLQFOXGHGIRUWKH)6

)604:332)606:33#6HULHV

8QSDFNLQJ#DQG#,QVSHFWLRQ

,QVWDOODWLRQ#DQG#RSHUDWLRQ

,QVWDOOLQJ#WRQHU 7DNHWKHWRQHUFRQWDLQHUIURPWKHWRQHUNLW7.VXSSOLHGZLWKWKHSULQWHU*LYHLW DJRRGVKDNHWRWLPHV

3HHORIIWKHVHDORQWKHERWWRPRIWKHWRQHUFRQWDLQHUE\FDUHIXOO\SXOOLQJRII

)604:332)606:33#6HULHV

8QSDFNLQJ#DQG#,QVSHFWLRQ

,QVWDOODWLRQ#DQG#RSHUDWLRQ

,QVHUWWKHWRQHUFRQWDLQHULQWKHSULQWHUDVEHORZ$OLJQ#WKH#WZR#ORFDWLQJ#SLQV#DW WKH#ERWWRP#RI#WKH#FRQWDLQHU#ZLWK#WKH#PDWLQJ#KROHV#LQ#WKH#SULQWHU#+WKH GHYHORSHU#XQLW#,1

&DXWLRQ#0#7R#DYRLG#WURXEOH#+WRQHU#VSLOOLQJ/#HWF1,/#WKH#WRQHU#FRQWDLQHU#PXVW#EH FRUUHFWO\#VHDWHG#DQG#ORFNHG#LQ#WKH#SULQWHU1#7R#GR#WKLV/#SUHVV#WKH#IDU#VLGH#RI WKH#FRQWDLQHUDW#WKH386+#+(5(PDUNV#XQWLO#D#FOLFN#LV#KHDUG1

)604:332)606:33#6HULHV

8QSDFNLQJ#DQG#,QVSHFWLRQ

,QVWDOODWLRQ#DQG#RSHUDWLRQ

,QVWDOOLQJ#WKH#ZDVWH#WRQHU#ERWWOH 7KHZDVWHWRQHUERWWOHLVDOVRVXSSOLHG,WPXVWEHLQVWDOOHGLQVLGHWKHGUXPDFFHVV GRRULQWKHOHIWVLGHRIWKHSULQWHU2SHQWKHGUXPDFFHVVGRRUDQGLQVWDOOLWDV VKRZQ

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

)604:332)606:33#6HULHV

([SDQGLQJ#PHPRU\

,QVWDOODWLRQ#DQG#RSHUDWLRQ

([SDQGLQJ#PHPRU\
([SDQGHGSULQWHUPHPRU\HQDEOHVWRSULQWPRUHFRPSOH[SDJHVGRZQORDGPRUH IRQWVDQGGHILQHPRUHPDFURV ,WEHJLQVE\H[SODLQLQJKRZWRUHPRYHWKHPDLQFLUFXLWERDUGIURPWKHSULQWHUDQG H[SODLQVKRZWRLQVWDOOD6,00VLQJOHLQOLQHPHPRU\PRGXOHRQWKHPDLQFLUFXLW ERDUG7KHPLQLPXPPHPRU\UHTXLUHPHQWVIRUWKHSULQWHUZLWKYDULRXVRSWLRQV LQVWDOOHGDUHOLVWHGLQWKHWDEOHEHORZ5HIHUWRWKLVWDEOHIRUREWDLQLQJDURXJK DSSUR[LPDWLRQRQKRZPXFKPHPRU\LVUHTXLUHGIRUDSDUWLFXODUQHHG 0LQLPXP#PHPRU\#UHTXLUHPHQWV
5HVROXWLRQ 633#GSL 3ULQWLQJ#HQYLURQPHQW +3HPXODWLRQ +3GXSOH[ +3.3'/ +3.3'/GXSOH[ +3.3'/UHVRXUFHSURWHFWLRQ +3.3'/UHVRXUFHSURWHFWLRQGXSOH[ 4:332 6:33 0% 0% 0% 0% QD QD 4:33.2 6:33. 0% 0% 0% 0% QD QD 933#GSL 4:332 6:33 0% 0% 0% 0% 0% 0% 4:33.2 6:33. 0% 0% 0% 0% 0% 0%

6,00#WR#EH#XVHG
0HPRU\#VL]H#LQ#0% 1XPEHU#RI#SLQV $FFHVV#VSHHG 3DULW\ %XV#ZLGWK QVRUIDVWHU :LWKZLWKRXW ELWV

)604:332)606:33#6HULHV

([SDQGLQJ#PHPRU\

,QVWDOODWLRQ#DQG#RSHUDWLRQ

1RWHV#RQ#KDQGOLQJ#WKH#PDLQ#FLUFXLW#ERDUG#DQG#6,00V 3URWHFWWKHHOHFWURQLFVE\WDNLQJWKHVHSUHFDXWLRQV # %HIRUHWRXFKLQJWKHPDLQFLUFXLWERDUGWRXFKDZDWHUSLSHRURWKHU ODUJHPHWDOREMHFWWRGLVFKDUJH\RXUVHOIRIVWDWLFHOHFWULFLW\:KLOHGRLQJ WKHZRUNLWLVUHFRPPHQGHGWKDW\RXZHDUDQDQWLVWDWLFZULVWVWUDS # # 7RXFKWKHPDLQFLUFXLWERDUGDQG6,00RQO\E\WKHHGJHV )ROORZWKHLQVWUXFWLRQVWKH6,00PDQXIDFWXUHUSURYLGHV

5HPRYLQJ#WKH#PDLQ#FLUFXLW#ERDUG 7KHPDLQFLUFXLWERDUGRIWKHSULQWHULVHTXLSSHGZLWKWZRVRFNHWVIRUPHPRU\ H[SDQVLRQ([SDQVLRQPHPRU\LVDYDLODEOHLQWKHIRUPRID6,00

7XUQ#WKH#SULQWHUV#SRZHU#RII1#8QSOXJ#WKH#SULQWHUV#SRZHU#FDEOH#DQG GLVFRQQHFW#WKH#SULQWHU#IURP#WKH#FRPSXWHU#RU#WKH#QHWZRUN1

)604:332)606:33#6HULHV

([SDQGLQJ#PHPRU\

,QVWDOODWLRQ#DQG#RSHUDWLRQ

5HPRYHWKH3&FDUGWKDWPD\EHLQVHUWHGLQWKH3&FDUGVORWDWWKHOHIWVLGHRIWKH SULQWHU 7XUQWKHSRZHUVZLWFKRII5HPRYHWKHPDLQFLUFXLWERDUGE\UHPRYLQJWKHWKUHH SODWHGVFUHZVIURPWKHUHDUFRYHU 7KHGLDJUDPEHORZH[DPSOHVPRGHO)6DQG)6

s
3XOOWKHPDLQFLUFXLWERDUGDOOWKHZD\RXWRIWKHSULQWHU &DXWLRQ#0#%HIRUH#SXOOLQJ#WKH#ERDUG#RXW/#FOHDQ#DQ#DUHD#RQ#WKH#WDEOH/#HWF1/#DW WKH#EDFN#RI#WKH#SULQWHUV#UHDU#SDQHO1#)RUHLJQ#REMHFWV/#DFFLGHQWDOO\#VWLFNLQJ#WR WKH#EDFN#RI#WKH#PDLQ#ERDUG/#FDQ#FDXVH#VHULRXV#GDPDJH#WR#WKH#SULQWHU1

5HIHUWRWKH(UURU$#5HIHUHQFH#VRXUFH#QRW#IRXQG1 GLDJUDPRQSDJH(UURU%RRNPDUN QRWGHILQHG/RFDWHWKHVRFNHWVIRUPHPRU\H[SDQVLRQRQWKHPDLQERDUG7KHVH VRFNHWVKDYHSLQVDQGDUHV\PEROL]HGDV<6DQG<6

)604:332)606:33#6HULHV

([SDQGLQJ#PHPRU\

,QVWDOODWLRQ#DQG#RSHUDWLRQ

)604:332)606:33

([SDQVLRQ#6,00 VRFNHWV

)604:332)606:33#6HULHV

([SDQGLQJ#PHPRU\

,QVWDOODWLRQ#DQG#RSHUDWLRQ

)604:33.2)66:33.

([SDQVLRQ#6,00 VRFNHWV

,QVWDOOLQJ#6,00V ,QVHUWWKH6,00LQWRWKHVRFNHWDVVKRZQ&DUHIXOO\SXVKWKHERDUGXSULJKWXQWLO LWVQDSVLQWRSODFH0DNHVXUHWKDWWKHFDWFKHVDWWKHHQGVRIWKHVRFNHWILWLQWRWKH KROHVDWWKHHQGVRIWKH6,00ERDUG

)604:332)606:33#6HULHV

([SDQGLQJ#PHPRU\

,QVWDOODWLRQ#DQG#RSHUDWLRQ

)604:332)606:33

)604:33.2)606:33.

)604:332)606:33#6HULHV

,QVWDOOLQJ#.3'/#+PRGHOV#)604:33#DQG#)606:33#RQO\,

,QVWDOODWLRQ#DQG#RSHUDWLRQ

7HVWLQJ#WKH#H[SDQVLRQ#PHPRU\ $IWHULQVWDOOLQJ6,00VLQWKHSULQWHUWHVWWKHSULQWHUWRVHHLIWKHLQVWDOODWLRQKDV EHHQVXFFHVVIXO7RWHVWWKHH[SDQVLRQPHPRU\WXUQSULQWHUSRZHURQDQGSULQWD VWDWXVSDJH ,IWKHLQVWDOODWLRQKDVEHHQVXFFHVVIXOWKH7RWDOPHPRU\0HPRU\$OORFDWLRQRIWKH VWDWXVSDJHZLOOVKRZWKHH[SDQGHGPHPRU\VL]HFRUUHVSRQGLQJWRWKHDPRXQWRI PHPRU\DGGHG

)604:332)606:33#6HULHV

,QVWDOOLQJ#.3'/#+PRGHOV#)604:33#DQG#)606:33#RQO\,

,QVWDOODWLRQ#DQG#RSHUDWLRQ

,QVWDOOLQJ#.3'/#+PRGHOV#)604:33#DQG#)606:33#RQO\,
7KH.3'/.\RFHUD3ULQWHU'HVFULSWLRQ/DQJXDJHLVDQXSJUDGHIRUDGGLQJ.\RFHUDV LPSOHPHQWDWLRQRIWKH3RVW6FULSWSDJHGHVFULSWLRQODQJXDJHWRPRGHOV 7KH.3'/LVDOUHDG\LQVWDOOHGIRUWKH3OXV6HULHVDVDVWDQGDUG 8SJUDGHLVGRQHE\LQVHUWLQJD.3'/5203.LQWRDQHPSW\VRFNHWRQWKHSULQWHUV PDLQFLUFXLWERDUG)RUGHWDLOVUHIHUWRWKH.3'/8SJUDGH.LW,QVWDOODWLRQ0DQXDO VXSSOLHGZLWKWKH3.

5HPRYLQJ#WKH#PDLQ#FLUFXLW#ERDUG 5HIHUWRWKHLQVWUXFWLRQVIRUUHPRYLQJWKHPDLQFLUFXLWERDUGXQGHUVHFWLRQ ([SDQGLQJPHPRU\SDJHDQGUHPRYHWKHPDLQFLUFXLWERDUG /RFDWHWKHVRFNHWIRULQVHUWLQJWKH.3'/5205HIHUWRWKH.3'/#520#62&.(7GLDJUDP RQSDJH7KLVVRFNHWLVPDUNHGDV8DGMDFHQWWRDQRWKHUVKRUWHUHPSW\ VRFNHW8

)604:332)606:33#6HULHV

,QVWDOOLQJ#.3'/#+PRGHOV#)604:33#DQG#)606:33#RQO\,

,QVWDOODWLRQ#DQG#RSHUDWLRQ

.3'/#520#62&.(7

)604:332)606:33#6HULHV

,QVWDOOLQJ#.3'/#+PRGHOV#)604:33#DQG#)606:33#RQO\,

,QVWDOODWLRQ#DQG#RSHUDWLRQ

,QVWDOOLQJ#WKH#520 %HIRUHLQVWDOOLQJWKH.3'/520FDUHIXOO\VWUDLJKWHQWKHSLQVDVIROORZV

0DNH#VXUH#WKDW#QRQH#RI#WKH#SLQV#DUH#EHQW1

7RLQVHUWWKH520LQWRLWVVRFNHWSRVLWLRQWKH520LQWKHVRFNHWDVVKRZQ0DNHVXUH WKDWWKH8VKDSHGLQGHQWDWLRQDWWKHHQGRIWKH520LVRULHQWHGLQWKHVDPHGLUHFWLRQ DVWKH8VKDSHGLQGHQWDWLRQDWWKHHQGRIWKHVRFNHW$OLJQDOOSLQVRIWKH520 SURSHUO\ZLWKWKHLUVRFNHWKROHV

520

6RFNHW

8#LQGHQWDWLRQV

)604:332)606:33#6HULHV

8VLQJ#WKH#&RQWURO#3DQHO

,QVWDOODWLRQ#DQG#RSHUDWLRQ

8VLQJ#WKH#&RQWURO#3DQHO
7KHSULQWHUVFRQWUROSDQHOKDYH/('LQGLFDWRUVDQGDTXDUW]PHVVDJHGLVSOD\WR SURYLGHDTXLFNDFFHVVWRWKHSULQWHUVFRQGLWLRQV

,QGLFDWRUV

,QGLFDWRU 21/,1(2*UHHQ

6WDWXV )ODVKLQJ 6WHDG\ 2II

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

'$7$2*UHHQ

)ODVKLQJ 6WHDG\

$77(17,2125HG

)ODVKLQJ 6WHDG\

0DQXDO#IHHG#LQGLFDWRU2

)DFH0GRZQ#VWDFN#LQGLFDWRU2

)DFH0XS#VWDFN#LQGLFDWRU2

&DVVHWWH#IHHG#LQGLFDWRU2q

7RQHU#LQGLFDWRU2r

)604:332)606:33#6HULHV

8VLQJ#WKH#&RQWURO#3DQHO

,QVWDOODWLRQ#DQG#RSHUDWLRQ

)URQW#SDQHO#NH\V

.H\ 21/,1( &217,18(

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

67$&. )250#)((' &$1&(/ 02'(2(;,7 )((' 67$7862(17(5

0RGH#VHOHFWLRQ#PHQX 7KH02'(NH\RQWKHFRQWUROSDQHODOORZVWRVHWRUFKDQJHWKHSULQWHUHQYLURQPHQW VXFKDVWKHQXPEHURIFRSLHVWRPDNHHPXODWLRQHWFDQGWRSULQWDIRQWOLVW PDQLSXODWLQJDPHPRU\FDUGHWF 'XULQJRSHUDWLQJLQWKHPRGHVHOHFWLRQVHYHUDOIURQWSDQHONH\VVHUYHH[FOXVLYHO\IRU LWVVHFRQGDU\IXQFWLRQDVODEHOHGEHVLGHWKHP(;,7.0(17(57KHGLDJUDP RQWKHQH[WSDJHJLYHVDIXOOORDGPDSWRWKHIXOORSWLRQVDQGWKHVHTXHQFHRIPRGH VHOHFWLRQDVZHOODVXVDJHRIWKHVHVHFRQGDU\NH\V

)604:332)606:33#6HULHV

8VLQJ#WKH#&RQWURO#3DQHO

,QVWDOODWLRQ#DQG#RSHUDWLRQ

 

LVRUf J;L 711 ;5 112 C^cVaWRTV JRaR\\V\ C^cVaWRTV MVaZR\ C^cVaWRTV I`cZ_^ : : : :JRaR\\V\ C0@ HZSS\V,YZXY:JRaR\\V\ C0@

 
;dc_ :JRaR\\V\ C0@ H_a]R\ :JRaR\\V\ C0@ BZXY b`VVU :<RdU aRcV 9711 :>RcR SZcb 8 :Mc_` SZcb 2 :JRaZcf H_^V :Ja_c_T_\ >NL,`_b/-+QIH :HVcPRaV IWW :HVcPRaV I^ :N=J0CJ IWW :HVcPRaV I^ :?cYVaNR\[ IWW : ::HVcPRaV @aR]V ;dc_

  
       
            

          
     +  -     

     

   MODE 


   +  -      
        
 
 

   ENTER          +  -         ENTER   

            CANCEL      ENTER 

::>B=J IWW ::CJ ;UUaVbb ::ARcVeRf ::MdS^Vc GRb[

   EXIT       



          
    ENTER !CONTINUE" 

 
       Ready

Hd]SVa _W T_`ZVb 112 ?]d\RcZ_^ : BJ FRbVaDVc 6G ?]d\RcZ_^ EJ>F ?]d\RcZ_^ EJ>F ,;ONI:

:I`c/McRcdbJRXV IWW :=_UV bVc CMI.7 ;M=CC :JaZ^c EJ>F Vaab IWW I^ :;\c/V]d\RcZ_^ BJ FRbVaDVc 6G :JaZ^c EJ>F Vaab IWW I^

    
 

kmnl

!FORM FEED"

kmol

              


    

  

   
  

?]d\RcZ_^ : FZ^V JaZ^cVa C<G Ja_`aZ^cVa ?]d\RcZ_^ >C;<FI 741 ?]d\RcZ_^ ?JMIH FK.861 :

:=_UV bVc C<G OM :=_UV bVc >C;<FI OM :=_UV bVc FK OM

 
       
 
" # $%&% '

*% ( *% ,- *% !# *% !# *% !#1 *% !# ( ' ) ,*' ( ,*'   ,*'    ,*' (/0/ ,*' , 2 ,*' 
,*'  ,*'  ,*' 3 ( ' )

  ! 
'4 ( '4   '4    '4 (/0/ '4 , 2 '4 
'4  '4  '4 3 '4 
 '4 , 2  '4   '   *% ( *% ,- *% !# *% !# *% !#1

        




   ! " # $%& ' ( ' )

@_^c <Zc]R` @_^c

: :

:<Zc]R` W_^c 11112 :=_daZVa >Ra[ :=_daZVa FZXYc : ;dUaVfNe_.LVXd \RaMP= :=_daZVa >Ra[ :=_daZVa FZXYc :MZgV 123/11 `_Z^c,b:JZcTY 21/11 T`Z :LVRU URcR :FZbc _W `RacZcZ_^b

*% !# *% !# +,-. *% !#  ' 

MTR\RS\V

kmpl

& (/0/

kmpl

$%&% '
 %(
! 5 !  6 %5# ! 7  % 89:5 ) ; 
: ; 9 , :2  '   '  ; 
: ' ; 
: '  ; 
: '  ! !# '  ! & !<82:5 % :5

*% !#

JRXV _aZV^cRcZ_^ J_acaRZc FR^UbTR`V I`c/ LIG :

GV]_af =;L>

:LVRU W_^cb :@_a]Rc :LVRU URcR :PaZcV URcR :>V\VcV URcR :FZbc _W JRacZcZ_^b

ryx{wx|ut yx xu}{ zsvu

)604:332)606:33#6HULHV

8VLQJ#WKH#&RQWURO#3DQHO

,QVWDOODWLRQ#DQG#RSHUDWLRQ

pyx}vx~sr t{yw z{s*vy~| zqus


AD [YJ_ UWMN ;RYZ[ :V]NTWXN ZR`N 9@ ,- 7\ZRVNZZ 7\TS ONNMNY ZR`N 62 ,- @N[[NY DJXNY [_XN BWYUJT DJXNY [_XN GQRLS 9\XTN^ UWMN BWVN FWY[NY UWMN F[JLSNY 6\[W LJZZN[[N BWVN C[QNYZ 5 5AF< TJVP\JPN :VPTRZQ 5AF< TJVP\JPN 5 5AJV\JT :TN]J[N 5 AD [YJ_ ZR`N 62 ,- @N[[NY

   


                 On          

        Off     








 
    !    " # $   # $         
   "  
           
   %  
    

  >Size            


   &   >Pitch  
   '    (    )  *+, - 
 .  , 
 
 
#              )$

 (    )  /0) -  .  ,  


                    
   

  (          


          123 433!      Print overrun Press CONTINUE     
  

;YJVaJRZ 5AF< TJVP\JPN 9N\[ZLQ

5;WYU ;NNM GRUNW\[ .1.ZNL, 5FTNNX [RUNY .1. URV, 5DYRV[ =:I+9HAD 5@RZ[ WO YNZRMNV[ ;WV[Z 5DYRV[NY ENZN[ 5@; JL[RWV @; JL[RWV 5@; WVT_

egjf egkf

      
 
     
 On  

  
      123 433! 
  

             
   

Auto


 5 
  
           
  /) 16 #/* 16   '  $         

  7 
   

8E JL[RWV 5@; JVM @; >PVWYN @;

58E JL[RWV 8E JL[RWV 5@; WVT_

8E JL[RWV 5@; JVM @; >PVWYN 8E

5B\UKNY WO XJPNZ XYRV[NM ./01234 5?>E UWMN CV 5?>E UWMN COO 5:LWXYRV[ UWMN COO 5?>E UWMN CV 5DJPN XYW[NL[ 6\[W 5?>E UWMN CV 5ENZWT\[RWV 4.. MXR 5ENZWT\[RWV 1.. MXR 5ENZWYLN XYW[, COO 5ENZWLN XYW[, DNYUJVNV[ 5ENZWLN XYW[, DNYU - GNUX 5DYRV[ MNVZR[_ .1 57\``NY CV 57\``NY COO

eglf

egmf

egnf

egihf
55DYRV[ F[J[\Z DJPN 559Y\U 5 559N]NTWXNY

5FNY]RLN

)604:332)606:33#6HULHV

8VLQJ#WKH#&RQWURO#3DQHO

,QVWDOODWLRQ#DQG#RSHUDWLRQ

6HUYLFH#PRGH :LWKLQOthersRSWLRQWKHServicePRGHFDQEHDFFHVVHGE\DXWKRUL]HGVHUYLFH SHUVRQQHO7KLVPRGHSURYLGHVWZRVSHFLDOWUHDWPHQWVIRUVHUYLFHSXUSRVHFOHDQLQJ RQWKHGUXPVXUIDFHDQGDFFHOHUDWLQJLQLWLDOWRQHUUHSOHQLVKPHQWIRUDQHZGHYHORSHU 7KHVHUYLFHPRGHLVDYDLODEOHRQO\ZKHQWKHSULQWHULVUHDG\:KLOHLQVHUYLFHPRGH WKHSULQWHUDFFHSWVSULQWGDWDEXWGRHVQRWSULQWLW )RUGHWDLOVVHHFKDSWHUSDJH

)604:332)606:33#6HULHV

&KDSWHU#2QH# & 2 1 7 ( 1 7 6 #4

3ULQWHU#LGHQWLILFDWLRQ#ODEHOLQJ#406 3ULQWHU#6SHFLILFDWLRQV#407 5HFRPPHQGHG#IODVK#FDUGV#409 )URQW#DQG#UHDU#YLHZV#40; )URQW#YLHZ#+)604:3326:33,#40; 3DSHU#IHHG#XQLW#40< ,QWHUQDO#DVVHPEOLHV##4043 ,QWHUQDO#DVVHPEOLHV##4044 6DIHW\#LQIRUPDWLRQ#4045 /DVHU#VDIHW\#4045 /DVHU#QRWLFH#4045 &'5+#UHJXODWLRQV#4046 2]RQH#FRQFHQWUDWLRQ#4046 )&&#QRWLFH#4046 ,PSRUWDQW#QRWH#RQ#WKH#LQWHUIDFH#FRQQHFWRUV#4048 &DQDGLDQ#'HSDUWPHQW#RI#&RPPXQLFDWLRQV#FRPSOLDQFH#VWDWHPHQW#4049 $YLV#GH#FRQIRUPLWp#DX[#QRUPHV#GX#PLQLVWqUH#GHV#&RPPXQLFDWLRQV#GX#&DQDGD#4049 ,62#:::<#4049 (QYLURQPHQWDO#UHTXLUHPHQWV#404; (QYLURQPHQWDO#FRQGLWLRQV#404; &OHDUDQFH#404< 3ODFHV#WR#DYRLG#4053 1RWH#RQ#SRZHU#4055 $ERXW#WKH#WRQHU#4055 7RQHU#FRQWDLQHU#KDQGOLQJ#4056 7RQHU#VWRUDJH#4057

3ULQWHU#LGHQWLILFDWLRQ#ODEHOLQJ

3URGXFW#LQIRUPDWLRQ

3ULQWHU#LGHQWLILFDWLRQ#ODEHOLQJ
7KHSULQWHUEHDUVLWVPRGHODQGVHULDOQXPEHUVDWLWVEDFN7KHIROORZLQJGLDJUDPV H[DPSOHODEHOVIRUPRGHO)6 7KHODEHODOVRFRQWDLQVRWKHUVDIHW\SUHFDXWLRQV
(XURSH2$VLD#YHUVLRQ 862&DQDGD#YHUVLRQ

)604:332)606:33#6HULHV

3ULQWHU#6SHFLILFDWLRQV

3URGXFW#LQIRUPDWLRQ

3ULQWHU#6SHFLILFDWLRQV
(1*,1( 6SHFLILFDWLRQ 3ULQWPHWKRG )604:332. (OHFWURSKRWRJUDSK\ODVHUVFDQ SDJHVPLQXWH )606:332.

SDJHVPLQXWH 3ULQWVSHHG$RUOHWWHUZKHQ SULQWLQJPXOWLSOHFRSLHVRIWKHVDPH SDJH 5HVROXWLRQGSL 6PRRWKLQJ KRUL]RQWDOYHUWLFDO .,5KRUL]RQWDO YHUWLFDO

VHFRQGVRUOHVV VHFRQGVRUOHVV SDJHVPRQWK

)LUVWSULQW$RUOHWWHUGHSHQGVRQ VHFRQGVRUOHVV LQSXWGDWD :DUPXSWLPHDW&RU) 0D[LPXPGXW\F\FOH /DVHUGLRGH 0DLQFKDUJHU 7UDQVIHUULQJ 6HSDUDWLRQ 'UXPFOHDQLQJ 'UXPGLVFKDUJLQJ )XVHU 3DSHU &DSDFLW\RISDSHUIHHGWUD\ &DSDFLW\RIRXWSXWWUD\V VHFRQGVRUOHVV SDJHVPRQWK 9LVLEOHODVHU 6FRURWURQZLUH %LDVHGUROOHU &KDUJLQJ %ODGH /('DUUD\ +HDWDQGSUHVVXUH 3ODLQSDSHU6HH$SSHQGL[% VKHHWV VKHHWV

)604:332)606:33#6HULHV

3ULQWHU#6SHFLILFDWLRQV

3URGXFW#LQIRUPDWLRQ

&21752//(5 6SHFLILFDWLRQ &38 6\VWHP520VL]H 5HVLGHQWIRQW520VL]H 2SWLRQIRQWV520 0DLQ5$0 $GGLWLRQDO5$06,00 0HPRU\FDUG )604:33 (& 0%N% 0%0% 0ELWV3. 0%N% 0%PD[LPXP )604:33. 3RZHU3& 0%0E 0%0E 0%0% )606:33 (& 0%N% 0%0% 0ELWV3. 0%N% )606:33. 3RZHU3& 0%0E 0%0E 0%0%

65$0RUIOXVK-(,'$3&0&,$ 6HH5HFRPPHQGHGIODVKFDUGVLQWKLVFKDSWHU

+RVWLQWHUIDFH 3DJHGHVFULSWLRQODQJXDJH 6WDQGDUGHPXODWLRQPRGHV

3DUDOOHOVHULDORSWLRQ 3UHVFULEH,, +3/DVHU-HW ,%03URSULQWHU ;('LDEOR (SVRQ/4 +3/DVHU-HW0 ,%03URSULQWHU ;('LDEOR (SVRQ/4 OLQHSULQWHU +3/DVHU-HW ,%03URSULQWHU ;('LDEOR (SVRQ/4 +3/DVHU-HW0 +3/DVHU-HW6L ,%03URSULQWHU ;('LDEOR (SVRQ/4 OLQHSULQWHU

:(,*+7#$1'#',0(16,216 6SHFLILFDWLRQ :LGWK +HLJKW 'HSWK :HLJKW0DLQXQLW )604:332. FP FP FP NJOE )606:332.

)604:332)606:33#6HULHV

3ULQWHU#6SHFLILFDWLRQV

3URGXFW#LQIRUPDWLRQ

32:(5#5(48,50(176 6SHFLILFDWLRQ 9ROWDJH UHTXLUHPHQWV :DWWV 86&DQDGD (XURSH$VLD 0D[LPXP 3ULQWLQJ 6WDQGE\ 6OHHSLQJ 0D[LPXPFXUUHQW 86&DQDGD (XURSH )604:332. 9$&+] 9$&RU+] : : : : $ $ : : : : : )606:33 )606:33.

(19,5210(17$/#5(48,5(0(176 6SHFLILFDWLRQ 2SHUDWLQJWHPSHUDWXUHDQG KXPLGLW\ 0D[LPXPDOWLWXGH 1RLVHHPLVVLRQ )604:332. &WR&)WR) WR5+ PIHHW G%PD[LPXPG%DW VWDQGE\ G%PD[LPXPG%DW VWDQGE\ )606:332.

)604:332)606:33#6HULHV

3ULQWHU#6SHFLILFDWLRQV

3URGXFW#LQIRUPDWLRQ

5HFRPPHQGHG#IODVK#FDUGV %RWK)6DQG)66HULHVSULQWHUVSURYLGHVXSSRUWIRUD-(,'$3&0&,$ FDWHJRU\RIPHPRU\FDUGLQERWK65$0DQGIOXVKW\SHV7KHQRUPDOVHULHVVXSSRUWV PHPRU\VL]HRIXSWR0%DQGWKH3OXV6HULHVVXSSRUWVXSWR0% )ROORZLQJLVDOLVWRIPDNHVDQGPRGHOVRIIOXVKFDUGVUHFRPPHQGHGIRUXVHZLWKWKH SULQWHUV1RWHWKDWWKHIOXVKFDUGWREHXVHGVKRXOGEHRSHUDEOHRQ9'&


0RGHO $0' $P&&)/.$ $P&&)/.$ $P&&)/.$ $P&')/.$ $P&')/.$ $P&&)/.$ )XMLWVX 0%$ 0%$ 0%$ 0%$ 0%$ 3DQDVRQLF %10+)&&& %10+)&&& ,QWHO &HQWHQQLDO 6HULHVL0&)/63 )/0 )/0 &DSDFLW\ 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

)URQW#DQG#LQWHUQDO#YLHZV
)URQW#YLHZ
3DSHU#IXOO#VHQVRU +)606:332.#RQO\, 3DSHU#H[LW#UROOHU )URQW#RSHUDWRU SDQHO

3RZHU#VZLWFK

3DSHU#IHHG#XQLW UHOHDVH#OHYHU

:DVWH WRQHU2GUXP DFFHVV#GRRU

3DSHU#FDVVHWWH

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

3DSHU#IHHG#XQLW

0DXOWL0SXUSRVH WUD\

3DSHU#IHHG#XQLW

3DSHU#IHHG#XQLW UHOHDVH#OHYHU

0HPRU\#FDUG#VORW

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

,QWHUQDO#DVVHPEOLHV#

/DVHU#VFDQQHU DVVHPEO\ 7RQHU#FRQWDLQHU#UHOHDVH#OHYHU 'HYHORSHU#XQLW 3DSHU#H[LW#UROOHU

8SSHU#IUDPH YHQWL#IDQ

5HOD\#ERDUG .30837

&DVVHWWH#SDSHU VL]H#VZLWFKHV 0DQXDO#IHHG DFWXDWRU (QYHORSHU#IHHGHU FRQQHFWRU 'ULYH#DVVHPEO\ )HHG#UROOHU#FOXWFK

&RQWUROOHU#YHQWL IDQ 0DLQ#PRWRU

0HPRU\#FDUG#VORW

5HJLVWUDWLRQ UROOHU#FOXWFK

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

,QWHUQDO#DVVHPEOLHV# )604:332)60

5HDU#SDSHU#MDP DFFHVV#GRRU

+LJK#YROWDJH ERDUG

)DFH0XS SDSHU#RXWOHW 0DLQ#FKDUJHU WHUPLQDO 3DUDOOHO#LQWHUIDFH FRQQHFWRU

6HULDO#LQWHUIDFH FRQQHFWRU 2SWLRQ#LQWHUIDFH VORW#+&RYHUHG, $&#LQOHW )DFH0XS#VWDFNHU FRQQHFWRU

'UXP#FRQQHFWRU <&;54 'UXP#DFFHVV#VORW 3RZHU#VZLWFK

)604:33.2)606:33.

6HULDO#LQWHUIDFH FRQQHFWRU

3DUDOOHO#LQWHUIDFH FRQQHFWRU

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

6DIHW\LQIRUPDWLRQ /DVHU#VDIHW\ 7KLVSULQWHULVFHUWLILHGDVD&ODVVODVHUSURGXFWXQGHUWKH86'HSDUWPHQWRI +HDOWKDQG+XPDQ6HUYLFHV'++65DGLDWLRQ3HUIRUPDQFH6WDQGDUGDFFRUGLQJWR 5DGLDWLRQ&RQWUROIRU+HDOWKDQG6DIHW\$FWRI7KLVPHDQVWKDWWKHSULQWHU GRHVQRWSURGXFHKD]DUGRXVODVHUUDGLDWLRQ6LQFHUDGLDWLRQHPLWWHGLQVLGHWKH SULQWHULVFRPSOHWHO\FRQILQHGZLWKLQSURWHFWLYHKRXVLQJVDQGH[WHUQDOFRYHUVWKH ODVHUEHDPFDQQRWHVFDSHIURPWKHSULQWHUGXULQJDQ\SKDVHRIXVHURSHUDWLRQ /DVHU#QRWLFH 7KHSULQWHULVFHUWLILHGLQWKH86WRFRQIRUPWRWKHUHTXLUHPHQWVRI'++6&)5 6XEFKDSWHUIRU&ODVV,ODVHUSURGXFWVDQGHOVHZKHUHLVFHUWLILHGDVD&ODVV,ODVHU SURGXFWFRQIRUPLQJWRWKHUHTXLUHPHQWVRI,(& &ODVV,ODVHUSURGXFWVDUHQRWFRQVLGHUHGWREHKD]DUGRXV7KHSULQWHUFRQWDLQV LQWHUQDOO\D&ODVV,,,EEODVHUWKDWLVQRPLQDOO\DPLOOLZDWWODVHURSHUDWLQJLQWKH ZDYHOHQJWKUHJLRQRIQDQRPHWHUV7KHODVHUV\VWHPDQGSULQWHUDUHGHVLJQHGVR WKHUHLVQHYHUDQ\KXPDQDFFHVVWRODVHUUDGLDWLRQDERYHD&ODVV,OHYHOGXULQJ QRUPDORSHUDWLRQXVHUPDLQWHQDQFHRUSUHVFULEHGVHUYLFHFRQGLWLRQ /DVHUSURGXFWODEHOVDUHORFDWHGRQWRSRIWKHODVHUVFDQQHU

/DVHU#VFDQQHU

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

:DUQLQJ#0#8VH#RI#FRQWUROV#RU#DGMXVWPHQWV#RU#SHUIRUPDQFH#RI#SURFHGXUHV RWKHU#WKDQ#WKRVH#VSHFLILHG#KHUHLQ#PD\#UHVXOW#LQ#KD]DUGRXV#UDGLDWLRQ H[SRVXUH1

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

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

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
&21)250,1*#72#&/$66#$#/,0,76=

+6(%XON3DSHU6WDFNHU 3)%XON3DSHU)HHGHU
&21)250,1*#72#&/$66#%#/,0,76=

()(QYHORSH)HHGHU '8'XSOH[HU +63DSHU+DQGOHU6WDFNHU 3)3DSHU)HHGHU 3)PLQL3DSHU)HHGHU 626RUWHU6WDFNHU 67%XON3DSHU6WDFNHU ,%$SSOH7DON,QWHUIDFH%RDUG 3.VHULHV.3'/8SJUDGH.LW

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

,PSRUWDQW#QRWH#RQ#WKH#LQWHUIDFH#FRQQHFWRUV %HVXUHWRWXUQRIISULQWHUSRZHUEHIRUHFRQQHFWLQJRUGLVFRQQHFWLQJDQLQWHUIDFH FDEOHWRWKHSULQWHU)RUSURWHFWLRQDJDLQVWVWDWLFGLVFKDUJHZKLFKPD\EHDSSOLHGWR WKHSULQWHUVLQWHUQDOHOHFWURQLFVWKURXJKWKHLQWHUIDFHFRQQHFWRUVNHHSDQ\ LQWHUIDFHFRQQHFWRUZKLFKLVQRWLQXVHFDSSHGXVLQJWKHSURWHFWLYHFDSVXSSOLHG :DUQLQJ#0#7KLV#HTXLSPHQW#KDV#EHHQ#FHUWLILHG#WR#FRPSO\#ZLWK#WKH#OLPLWV#IRU#D &ODVV#%#FRPSXWLQJ#GHYLFH/#SXUVXDQW#WR#6XESDUW#-#RI#3DUW#48#RI#)&&#5XOHV1 2QO\#SHULSKHUDOV#+FRPSXWHU#LQSXW2RXWSXW#GHYLFHV/#WHUPLQDOV/#HWF1,#FHUWLILHG#WR FRPSO\#ZLWK#WKH#&ODVV#%#OLPLWV#PD\#EH#DWWDFKHG#WR#WKLV#HTXLSPHQW1 2SHUDWLRQ#ZLWK#QRQ0FHUWLILHG#SHULSKHUDOV#LV#OLNHO\#WR#UHVXOW#LQ#LQWHUIHUHQFH#WR UDGLR#DQG#79#UHFHSWLRQ1

)604:332)606:33#6HULHV

)URQW#DQG#LQWHUQDO#YLHZV

3URGXFW#LQIRUPDWLRQ

&DQDGLDQ#'HSDUWPHQW#RI#&RPPXQLFDWLRQV#FRPSOLDQFH#VWDWHPHQW 7KLV&ODVV%GLJLWDODSSDUDWXVPHHWVDOOUHTXLUHPHQWVRIWKH&DQDGLDQ,QWHUIHUHQFH &DXVLQJ(TXLSPHQW5HJXODWLRQV $YLV#GH#FRQIRUPLWp#DX[#QRUPHV#GX#PLQLVWqUH#GHV#&RPPXQLFDWLRQV#GX &DQDGD &HWDSSDUHLOQXPpULTXHGHODFODVVH%UHVSHFWHWRXWHVOHVH[LJHQFHVGX5qJOHPHQWVXU OHPDWpULHOEURXLOOHXUGX&DQDGD

,62#:::< 0DVFKLQHQOlUPLQIRUPDWLRQVYHURUGQXQJ*6*9'HUK|FKVWH 6FKDOOGUXFNSHJHOEHWUlJWG%$RGHUZHQLJHUJHPl,62

)604:332)606:33#6HULHV

(QYLURQPHQWDO#UHTXLUHPHQWV

3URGXFW#LQIRUPDWLRQ

(QYLURQPHQWDO#UHTXLUHPHQWV
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

)604:332)606:33#6HULHV

(QYLURQPHQWDO#UHTXLUHPHQWV

3URGXFW#LQIRUPDWLRQ

32:(5#5(48,50(176RQSDJH7KHRXWOHWVKRXOGKDYHDJURXQGVORWRUDQ

DGDSWRUVKRXOGEHXVHG,I\RXXVHDQH[WHQVLRQFRUGWKHWRWDOOHQJWKRIWKHSRZHU FRUGSOXVH[WHQVLRQFRUGVKRXOGEHIHHWRUPHWHUVRUOHVV

:HOOYHQWLODWHGQRWWRRKRWRUFROGDQGQRWWRRGDPSRUGU\6HHVHFWLRQ # (19,5210(17$/#5(48,5(0(176RQSDJH,I\RXLQVWDOOWKHSULQWHUZKHUHWKH WHPSHUDWXUHRUKXPLGLW\LVRXWVLGHWKHUHTXLUHPHQWVLQVHFWLRQ(QYLURQPHQWDO UHTXLUHPHQWVLQFKDSWHUWKHEHVWSULQWTXDOLW\PD\QRWEHH[SHFWHGDQGWKHUH ZLOOEHDQLQFUHDVHGFKDQFHRISDSHUMDPV 3URYLGHDVXIILFLHQWFOHDUDQFHVDURXQGWKHSULQWHUWRHQVXUHYHQWLODWLRQDQGHDVH # RIDFFHVV6HHVHFWLRQ&OHDUDQFHRQSDJH

)604:332)606:33#6HULHV

(QYLURQPHQWDO#UHTXLUHPHQWV

3URGXFW#LQIRUPDWLRQ

&OHDUDQFH $OORZWKHQHFHVDU\PLQLPXPFOHDUDQFHRQDOOVLGHVRIWKHSULQWHUEHORZ$WRWDO VSDFHRIE\FPE\LVQHHGHG

&OHDUDQFH /HIW )URQW 5LJKW %DFN $ERYH FP FP FP

'LPHQVLRQV

FPRUFPLIWKHIDFHXSWUD\LV QRWLQVWDOOHG FP

)604:332)606:33#6HULHV

(QYLURQPHQWDO#UHTXLUHPHQWV

3URGXFW#LQIRUPDWLRQ

3ODFHV#WR#DYRLG $YRLGLQVWDOOLQJWKHSULQWHULQORFDWLRQVH[SRVHGWR 'LUHFWGUDIWVRIKRWRUFROGDLU 'LUHFWGUDIWVRIRXWVLGHDLU$YRLGORFDWLRQVQH[WWRRXWVLGHGRRUV 6XGGHQWHPSHUDWXUHRUKXPLGLW\FKDQJHV $Q\VRXUFHRIKLJKKHDWVXFKDVDUDGLDWRURUVWRYH ([FHVVLYHGXVW'XVWDQGVPRNHPD\FDXVHFRQWDPLQDWLRQRQWKHODVHUVFDQQHU ZLQGRZFDXVLQJSULQWTXDOLW\SUREOHP 9LEUDWLRQ $PPRQLDIXPHVRURWKHUKDUPIXOIXPHV,QFDVHRIKXPLJDWLQJWKHURRPRU VDWXUDWHLWZLWKLQVHFWLFLGHUHPRYHWKHSULQWHUILUVW $YRLGJUHHQKRXVHOLNHURRPV%HFDXVHRIVXQOLJKWDQGKXPLGLW\ $YRLGHQFORVHGVSDFHVWKDWEORFNYHQWLODWLRQ $YRLGVLWHVPRUHWKDQIHHWRUPHWHUVDERYHVHDOHYHO

)604:332)606:33#6HULHV

(QYLURQPHQWDO#UHTXLUHPHQWV

3URGXFW#LQIRUPDWLRQ

1RWH#RQ#SRZHU 8VHRQO\WKHSRZHUVRXUFHYROWDJHFRQIRUPLQJWRWKHSULQWHUVUDWHGSRZHUYROWDJH 6HHWKH

)604:332)606:33#6HULHV

$ERXW#WKH#WRQHU

3URGXFW#LQIRUPDWLRQ

32:(5#5(48,50(176RQSDJH'RQRWXVHRWKHUSRZHUVRXUFHV

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

:DUQLQJ$ #2:RUQXQJ$ $VWKHGLVFRQQHFWGHYLFHLVQRWLQFRUSRUDWHGLQWKHSULQWHUV$&SULPDU\FLUFXLWDQ HDVLO\DFFHVVLEOHVRFNHWRXWOHWPXVWEHSURYLGHGQHDUWKHHTXLSPHQW ,IWKHSULQWHULVXVHGZLWKWKHRSWLRQDO6RUWHU62RU6WDFNHU67LQRUGHUWR DYRLGVKRUWFLUFXLWLQJLWVKRXOGEHHQVXUHGWKDWWKHVHGHYLFHVDUHSOXJJHGVHFXUHO\ LQWRWKHLUUHVSHFWLYHSRZHURXWOHWV 'DNHLQ7UHQQVFKDOWHULQGHQ:HFKVHOVWURP3ULPlUNUHLVGHV'UXFNHUVHLQJHEDXWLVW PXHLQHOHLFKW]XJlQJOLFKH6WHFNGRVHLQGHU1lKHGHV*HUlWHVYRUKDQGHQVHLQ :HQQGHU'UXFNHUPLWGHPJHVRQGHUWHQ6RUWHU62RGHU6WDSOHU67YHUZHQGHW ZLUGPXGDUDXIJHDFKWHWZHUGHQGDGLHVH*HUlWHHLQZDQGIUHLDQVHSDUDWH 6WHFNGRVHQDQJHVFKORVVHQVLQGXP.XU]VFKOX]XYHUPHLGHQ

$ERXW#WKH#WRQHU
7KHSULQWHUVKRXOGXVH.\RFHUD7.7RQHU.LW7RHQVXUHWKHKLJKSULQWTXDOLW\ DQGORQJVHUYLFHOLIHWKHIROORZLQJKDQGOLQJSUHFDXWLRQVVKRXOGDSSO\
)604:332)606:33#6HULHV

$ERXW#WKH#WRQHU

3URGXFW#LQIRUPDWLRQ

&DXWLRQ#0#$V#WKH#(FRV\V#SULQWHUV#DUH#GHVLJQHG#WR#HQVXUH#WKH#RSWLPXP#SULQW TXDOLW\#ZKHQ#XVHG#ZLWK#WKH#.\RFHUDV#SURSULHWDU\#WRQHU/#.\RFHUD#GR#QRW UHFRPPHQG#WR#XVH#DQ\#UHILOOHG#WRQHU#FRQWDLQHUV#WKDW#PD\#EH#DYDLODEOH FRPPHUFLDOO\1#7KLV#LV#EHFDXVH#.\RFHUD#KDYH#QR#PHDQV#IRU#FRQWURO#RYHU#KRZ VXFK#UHILOOHG#WRQHU#FRXOG#DIIHFW#WKH#SULQW#TXDOLW\#DQG#WKH#UHOLDELOLW\#RI#WKH SULQWHU1

7RQHU#FRQWDLQHU#KDQGOLQJ 7RORRVHQDQGPL[WKHWRQHULQVLGHZLWKWKHODEHOVLGHGRZQWKRURXJKO\VKDNHWKH WRQHUFRQWDLQHULQWKHGLUHFWLRQRIWKHDUURZWHQWLPHVRUPRUH

'R#QRW#DWWHPSW#WR#GLVDVVHPEOH#RU#UHILOO#WKH#WRQHU#FRQWDLQHU1

)604:332)606:33#6HULHV

$ERXW#WKH#WRQHU

3URGXFW#LQIRUPDWLRQ

7RQHU#VWRUDJH 7KHWRQHUFRQWDLQHGLQWKHFRQWDLQHULVVXVFHSWLEOHWRWHPSHUDWXUHDQGKXPLGLW\7R HQVXUHWKHKLJKSULQWTXDOLW\VWRUHWKHWRQHUFRQWDLQHULQDSODFHWKDWVDWLVI\WKH IROORZLQJHQYLURQPHQWDOFRQGLWLRQV


7HPSHUDWXUH +XPLGLW\ &WR&)WR) WR5+

1RWH1# ,IWKHWRQHUFRQWDLQHULVUHPRYHGIURPWKHSULQWHUVGHYHORSHUXQLWSXWLWLQD SURWHFWLYHEDJDQGNHHSLWLQDGDUNSODFH &DXWLRQ#0# ,I#WKH#SULQWHU#LV#VKLSSHG#IRU#UHWXUQ/#HWF1/#GR#QRW#VKLS#LW#ZLWK#WKH WRQHU#FRQWDLQHU#LQVWDOOHG1#2WKHUZLVH/#WRQHU#PD\#OHDN#DQG#FRQWDPLQDWLRQ#PD\ UHVXOW#LQ#WKH#SULQWHU1

)604:332)606:33#6HULHV

$ERXW#WKH#WRQHU

3URGXFW#LQIRUPDWLRQ

)604:332)606:33#6HULHV

&RQYHQWLRQV23UHIDFH

)604:332)606:33#6HULHV#&RPELQHG#6HUYLFH#0DQXDO .\RFHUD&RUSRUDWLRQ$OOULJKWVUHVHUYHG([SRUW(GLWLRQ 1RWLFH 7KHLQIRUPDWLRQLQWKLVPDQXDOLV VXEMHFWWRFKDQJHZLWKRXWQRWLILFDWLRQ $GGLWLRQDOSDJHVPD\EHLQVHUWHGLQ IXWXUHHGLWLRQV7KHXVHULVDVNHGWR H[FXVHDQ\WHFKQLFDOLQDFFXUDFLHVRU W\SRJUDSKLFDOHUURUVLQWKHSUHVHQW HGLWLRQ 1RUHVSRQVLELOLW\LVDVVXPHGLI DFFLGHQWVRFFXUZKLOHWKHXVHULV IROORZLQJWKHLQVWUXFWLRQVLQWKLV PDQXDO1RUHVSRQVLELOLW\LVDVVXPHG IRUGHIHFWVLQWKHSULQWHUVILUPZDUH 7KHFRQWHQWVRIWKLVPDQXDODUH SURWHFWHGE\FRS\ULJKW1RSDUWRIWKLV PDQXDOPD\EHUHSURGXFHGRUFRSLHG E\DQ\PHDQVZLWKRXWWKHSHUPLVVLRQ RIWKHFRS\ULJKWKROGHU7KHSULQWHUV ILUPZDUHFRQWHQWVRILWVUHDGRQO\ PHPRU\LVVLPLODUO\SURWHFWHGE\ FRS\ULJKW 7UDGHPDUN#1RWLFH 35(6&5,%(LVDUHJLVWHUHG WUDGHPDUNRI.\RFHUD&RUSRUDWLRQ 35(6&5,%(,,.,5.\RFHUD,PDJH 5HILQHPHQWDQG(FRV\VDUH WUDGHPDUNVRI.\RFHUD&RUSRUDWLRQ 'LDEORLVDSURGXFWRI;HUR[ &RUSRUDWLRQ,%03URSULQWHU;(LV DSURGXFWRI,QWHUQDWLRQDO%XVLQHVV 0DFKLQH&RUSRUDWLRQ(SVRQ/4 LVDSURGXFWRI6HLNR(SVRQ &RUSRUDWLRQ+3/DVHU-HW,96L0 DQG+3$DUHSURGXFWRI +HZOHWW3DFNDUG&RPSDQ\+HZOHWW 3DFNDUG3&/DQG+3*/DUH UHJLVWHUHGWUDGHPDUNVRI+HZOHWW 3DFNDUG&RPSDQ\&HQWURQLFVLVD WUDGHQDPHRI&HQWURQLFV'DWD &RPSXWHU&RUS 3RZHU3&LVDWUDGHPDUNRI ,QWHUQDWLRQDO%XVLQHVV0DFKLQHV &RUSRUDWLRQ (QHUJ\6WDULVD86UHJLVWHUHGPDUN 0RGHOV)6DQG)6SULQWHUV XVH3HHUOHVV3ULQWWRSURYLGHWKH+3 /DVHU-HW,9FRPSDWLEOH3&/H ODQJXDJHHPXODWLRQ3HHUOHVV3ULQWLV DWUDGHPDUNRIWKH3HHUOHVV*URXS 5HGRQGR%HDFK&$86$ 0RGHOV)6DQG)6 SULQWHUVXVH3HHUOHVV3ULQW;/WR SURYLGHWKH+3/DVHU-HWFRPSDWLEOH 3&/ODQJXDJHHPXODWLRQ 3HHUOHVV3ULQW;/LVDWUDGHPDUNRI7KH 3HHUOHVV*URXS7KHVHWZRPRGHOVZDV GHYHORSHGXVLQJ7RUQDGH5HDO7LPH 2SHUDWLQJ6\VWHPDQG7RROVIURP :LQG5LYHU6\VWHPV :DUQLQJ= 7KLVHTXLSPHQWKDVEHHQFHUWLILHGWR FRPSO\ZLWKWKHOLPLWVIRUD&ODVV% FRPSXWLQJGHYLFHSXUVXDQWWR 6XESDUW-RI3DUWRI)&&5XOHV 2QO\SHULSKHUDOVFRPSXWHU LQSXWRXWSXWGHYLFHVWHUPLQDOVHWF FHUWLILHGWRFRPSO\ZLWKWKH&ODVV% OLPLWVPD\EHDWWDFKHGWRWKLV HTXLSPHQW2SHUDWLRQZLWKQRQ FHUWLILHGSHULSKHUDOVLVOLNHO\WRUHVXOW LQLQWHUIHUHQFHWRUDGLRDQG79 UHFHSWLRQ &KHFNWKDWWKHFDEOHLVZLUHG FRUUHFWO\,IDQ,%0FRPPXQLFDWLRQ DGDSWHUFDEOHW\SHLVXVHGLW ZLOOKDYHWREHUHVROGHUHGWKHZLULQJDW WKHSULQWHUHQGRIWKHFDEOH7KH SURFHGXUHLVDVIROORZV

LL

&RQYHQWLRQV23UHIDFH

&RQYHQWLRQV
7KURXJKRXWWKLVPDQXDOWKHIROORZLQJFRQYHQWLRQVDUHXVHG &RORULVDYDLODEOHZKHQYLHZHGRQOLQHWRHPSKDVL]HLPSRUWDQWLWHPV
CAPITALOHWWHUVDUHXVHGWRQDPHSULQWHUSDUWVDQGDVVHPEOLHV

,WDOLFOHWWHUVUHIHUUHODWHGFKDSWHUVRUVHFWLRQVRUGRFXPHQWDWLRQV %ROGOHWWHUVDUHDOVRXVHGIRUHPSKDVLVZKHUHYHULWDOLFVPD\FDXVHDFRQIXVH 7KLVV\PEROIROORZHGE\:DUQLQJGHQRWHVWKDWWKHIROORZLQJSDUDJUDSKVLQFOXGHV SUHFDXWLRQVZKLFKLILJQRUHGFRXOGUHVXOWLQSHUVRQDOLQMXU\DQGRULUUHYRFDEOH GDPDJHWRWKHSULQWHU :KHQIROORZHGE\&DXWLRQWKLVV\PEROGHQRWHVWKDWWKHIROORZLQJSDUDJUDSKV LQFOXGHWKHSUHFDXWLRQVZKLFKLILJQRUHGFRXOGUHVXOWLQGDPDJHWRWKHSULQWHU

LLL

&RQYHQWLRQV23UHIDFH

$ERXW#WKH#FKDSWHUV#111
8QOHVVRWKHUZLVHVSHFLILHGWKHFRQWHQWVRIWKLVPDQXDODSSO\WRDOOSULQWHUPRGHOVRI (FRV\V)6)6)6DQG)6 7KHPDQXDOLVFRPSULVHGRIWKHIROORZLQJFKDSWHUV
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

7KHPDQXDOZLOOEHVXSSOHPHQWHGZLWKFKDSWHUVRUDSSHQGL[HVDFFRUGLQJO\

LY

&RQYHQWLRQV23UHIDFH

5(9,6,21#+,6725< 9HUVLRQ 'DWH 'HF $SULO 6HS 1RY -XQH 5HSODFHG#SDJHV ,QFOXVLRQRI3OXVVHU 5HPDUNV .(GLVWULEXWLRQRQO\

7KLVGRFXPHQWZDVFUHDWHGXVLQJ0LFURVRIW:RUG7RREWDLQLWVLQWHQGHGYLHZRI WKHGRFXPHQWWKHIROORZLQJIRQWVPXVWEHLQVWDOOHGLQDGGLWLRQWRWKRVHDOUHDG\ LQVWDOOHGXQGHU:LQGRZVE\GHIDXOW&HQWXU\6FKRROERRNUHJXODULWDOLFEROG +XPDQLVWUHJXODULWDOLFDQG+XPDQLVW%ODFNEODFN


9,6,7#86#$7#285#,17(51(7#+20(#3$*(=#KWWS=22ZZZ1N\RFHUD1FRP

&RQYHQWLRQV23UHIDFH

YL

You might also like